DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Pgim Quantitative Solutions
Legal name Pgim Quantitative Solutions LLC
Latest filing Jul 1, 2026
First filing on the tape Mar 29, 2012 · 40 filings
SEC status approved since Jan 23, 2004
RAUM
$111B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
147
61 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$111B as of Jul 1, 2026
Mar 29, 2012$71B then
HNW client RAUM$0 as of Jul 1, 2026
Mar 29, 2019$0 then
State-registered IARs (5.B.3)0 as of Jul 1, 2026
Mar 29, 20120 then
Employees (5.A)147 as of Jul 1, 2026
Mar 28, 2013150 then
Private funds4 as of Jul 1, 2026
Mar 29, 20123 then
RAUM -0.3% over the last fiscal year+9.4% a year over threeIARs 2 to 0
Practice profile
derived from the filing of Jul 1, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $474MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$87B81%
- Insurance companies$8.4B7.8%
- State and municipal entities$4.2B3.9%
- Pooled investment vehicles$4.1B3.8%
- Pension and profit-sharing plans$2.2B2.0%
- Corporations and businesses$509M0.5%
- Sovereign wealth funds$479M0.4%
- Charitable organizations$313M0.3%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 11reported
- Charitable clients
- 2reported
- Accounts
- 234reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.83 institutional_share=0.14 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- Kevin Paul O'Rourke to Pgim, Inc.Jun 9, 2026 · Other
- Fernando Roberto Bloin to Lord, Abbett & Co. LLCJan 31, 2025 · Other
- William James Parker to Fidelity Personal And Workplace AdvisorsJul 22, 2020 · Other
Joined, latest
- William James Parker from Lord, Abbett & Co. LLCFeb 3, 2015 · Other
- Kevin Paul O'Rourke from Turner Investments, L.P.Apr 19, 2013 · Other
Private funds
9 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- James Brian Carroll · Member, Board Of Managerscontrolsince 12/2021 · owns less than 5%
- Tilton Linda Gibson · President, Ceo & Chairman, Board Of Managerscontrolsince 07/2019 · owns less than 5%
- Alexander David Hunt · Member, Board Of Managerscontrolsince 11/2011 · owns less than 5%
- Adam Kloczkowski · Chief Financial Officer, Chief Operating Officer, Controllercontrolsince 09/2020 · owns less than 5%
- Dawn Pallitto · Chief Compliance Officercontrolsince 06/2021 · owns less than 5%
- Mahsa Parangi · Chief Legal Officercontrolsince 04/2020 · owns less than 5%
- Nicholas George Patterson · Chief Investment Officercontrolsince 07/2020 · owns less than 5%
Entity owners
- Pgim, Inc. · Memberdirect · owns 75% or more
- Pgim Holding Company LLC · Shareholderindirect · owns 75% or more of Pgim, Inc.
- Prudential Financial, Inc. · Shareholderindirect · owns 75% or more of Pgim Holding Company LLC · public reporting company
Related persons
Schedule D 7.A
- Ast Investment Services, Inc.investment adviserbanknRAUM $91B
- Jennison Associatesinvestment adviserbankpooled vehicle sponsornRAUM $215B
- Keynes Dynamic Beta Strategy (US) Fund Gp LLCpooled vehicle sponsory
- Pgim (Singapore) Pte. Ltd.investment advisern
- Pgim Custom Harvest LLCinvestment advisernRAUM $6.9B
- Pgim Dc Solutionsinvestment advisernRAUM $6.9B
- Pgim Financial Limitedpooled vehicle sponsorn
- Pgim Investments LLCinvestment adviserbanknRAUM $345B
- Pgim Japan Co. Ltd.investment advisern
- Pgim Limitedinvestment adviserpooled vehicle sponsornRAUM $76B
- Pgim Netherlands B.V.investment advisern
- Pgim Multi-Asset Solutions LLCinvestment advisernRAUM $26B
- Pgim Private Placement Investors, L.P.investment adviserpooled vehicle sponsornRAUM $24B
- Pgim Real Estate Advisors LLCinvestment advisern
- Pgim Wadhwani Llpinvestment adviserbanknRAUM $1.6B
- Pgim, Inc.investment adviserbankpooled vehicle sponsoryRAUM $1132B
- Pruco Securities, LLCbroker-dealerinvestment advisern
- Prudential Annuities Distributors, Incbroker-dealern
- Prudential Financial Securities Investment Trust Enterprise(Taiwan)investment advisern
- Prudential Investment Management Services LLCbroker-dealern
- Prudential Legacy Insurance Company Of New Jerseyreal estaten
- Prudential Select Strategies LLCinvestment advisernRAUM $23B
- Prudential Trust Companybankn
- The Prudential Insurance Company Of Americareal estaten
Advisers that list Pgim Quantitative Solutions as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Newark, Nj · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 211 to 234Jan 8, 2026 to Mar 26, 2026
- Advisory employees · 59 to 61Jan 8, 2026 to Mar 26, 2026
- BD registered reps · 16 to 0Jan 8, 2026 to Mar 26, 2026
- Pension plan clients · 12 to 11Jan 8, 2026 to Mar 26, 2026
- Employees · 167 to 147Jan 8, 2026 to Mar 26, 2026
- State-registered IARs · 2 to 0Jan 8, 2026 to Mar 26, 2026
- Discretionary RAUM · $109B to $108BJan 8, 2026 to Mar 26, 2026
- Non-discretionary RAUM · $2.8B to $2.9BJan 8, 2026 to Mar 26, 2026
- Pension RAUM · $2.0B to $2.2BJan 8, 2026 to Mar 26, 2026
- Pooled vehicle RAUM · $3.7B to $4.1BJan 8, 2026 to Mar 26, 2026
- RAUM · $111B to $111BJan 8, 2026 to Mar 26, 2026
- Accounts · 170 to 211Mar 27, 2024 to Apr 1, 2025
- BD registered reps · 18 to 16Mar 27, 2024 to Apr 1, 2025
- Pooled vehicle clients · 7 to 8Mar 27, 2024 to Apr 1, 2025
- Employees · 173 to 167Mar 27, 2024 to Apr 1, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Apr 1, 2025
- State-registered IARs · 3 to 2Mar 27, 2024 to Apr 1, 2025
- Discretionary RAUM · $93B to $109BMar 27, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $0 to $2.8BMar 27, 2024 to Apr 1, 2025
- Pension RAUM · $1.8B to $2.0BMar 27, 2024 to Apr 1, 2025
- Pooled vehicle RAUM · $3.1B to $3.7BMar 27, 2024 to Apr 1, 2025
- RAUM · $93B to $111BMar 27, 2024 to Apr 1, 2025
- Accounts · 199 to 170Jun 20, 2023 to Mar 27, 2024
- Advisory employees · 64 to 59Jun 20, 2023 to Mar 27, 2024
- BD registered reps · 19 to 18Jun 20, 2023 to Mar 27, 2024
- Corporate clients · 0 to 1Jun 20, 2023 to Mar 27, 2024
- Pension plan clients · 13 to 12Jun 20, 2023 to Mar 27, 2024
- Pooled vehicle clients · 10 to 7Jun 20, 2023 to Mar 27, 2024
- Employees · 197 to 173Jun 20, 2023 to Mar 27, 2024
- Private funds · 5 to 4Jun 20, 2023 to Mar 27, 2024
- Discretionary RAUM · $85B to $93BJun 20, 2023 to Mar 27, 2024
- Pension RAUM · $1.8B to $1.8BJun 20, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $3.6B to $3.1BJun 20, 2023 to Mar 27, 2024
- RAUM · $85B to $93BJun 20, 2023 to Mar 27, 2024
- Accounts · 121 to 199Jul 15, 2022 to Mar 29, 2023
- Advisory employees · 59 to 64Jul 15, 2022 to Mar 29, 2023
- BD registered reps · 24 to 19Jul 15, 2022 to Mar 29, 2023
- Corporate clients · 2 to 0Jul 15, 2022 to Mar 29, 2023
- Pension plan clients · 17 to 13Jul 15, 2022 to Mar 29, 2023
- Pooled vehicle clients · 15 to 10Jul 15, 2022 to Mar 29, 2023
Signals
22 dated events
- Kevin Paul O'Rourke left Pgim Quantitative Solutions for Pgim, Inc. (registered 2026-06-10)Jun 9, 2026 · Advisor changed firm · fact
- Fernando Roberto Bloin left Pgim Quantitative Solutions for Lord, Abbett & Co. Llc (registered 2024-06-13)Jan 31, 2025 · Advisor changed firm · fact
- Julius Lawrence Marchese (Chief Technology & Operations Officer) no longer on Schedule A of Pgim Quantitative Solutions (listed 2023-06-20, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Pgim Quantitative Solutions reported RAUM $84.8B, down 27% from $115.3B (2022-07-15 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- Julius Lawrence Marchese (Chief Technology & Operations Officer) appeared on Schedule A of Pgim Quantitative SolutionsJul 15, 2022 · Control person joined · fact
- Bradley Adam Broder (Member, Board Of Managers) no longer on Schedule A of Pgim Quantitative Solutions (listed 2021-12-06, absent 2022-03-25)Mar 25, 2022 · Control person left · inference
- James Brian Carroll (Member, Board Of Managers) appeared on Schedule A of Pgim Quantitative SolutionsMar 25, 2022 · Control person joined · fact
- Charles Louis Andrew Dyson (Ceo & Chairman, Board Of Managers) no longer on Schedule A of Pgim Quantitative Solutions (listed 2021-06-16, absent 2021-10-15)Oct 15, 2021 · Control person left · inference
- Dawn Pallitto (Chief Compliance Officer) appeared on Schedule A of Pgim Quantitative SolutionsJun 16, 2021 · Control person joined · fact
- Yoo Tammy Choe (Chief Compliance Officer) no longer on Schedule A of Pgim Quantitative Solutions (listed 2021-04-29, absent 2021-06-16)Jun 16, 2021 · Control person left · inference
- Charles Robert Roth (Chief Financial Officer) no longer on Schedule A of Pgim Quantitative Solutions (listed 2020-07-22, absent 2020-10-15)Oct 15, 2020 · Control person left · inference
- Adam Kloczkowski (Chief Financial Officer) appeared on Schedule A of Pgim Quantitative SolutionsOct 15, 2020 · Control person joined · fact
- Sharon Debra Groisser (Chief Legal Officer) no longer on Schedule A of Pgim Quantitative Solutions (listed 2020-03-27, absent 2020-07-22)Jul 22, 2020 · Control person left · inference
- Donald Roy Henriksson (Cio & Member, Board Of Managers) no longer on Schedule A of Pgim Quantitative Solutions (listed 2020-03-27, absent 2020-07-22)Jul 22, 2020 · Control person left · inference
- Mahsa Parangi (Chief Legal Officer) appeared on Schedule A of Pgim Quantitative SolutionsJul 22, 2020 · Control person joined · fact
- Nicholas George Patterson (Chief Investment Officer) appeared on Schedule A of Pgim Quantitative SolutionsJul 22, 2020 · Control person joined · fact
- Donald Clark Pellington (Chief Compliance Officer) no longer on Schedule A of Pgim Quantitative Solutions (listed 2019-03-29, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- Carolyn Shelley Wong-Chassine (Chief Operating Officer And Member, Board Of Managers) no longer on Schedule A of Pgim Quantitative Solutions (listed 2019-03-29, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- Tilton Linda Gibson (Chief Business Officer) appeared on Schedule A of Pgim Quantitative SolutionsMar 27, 2020 · Control person joined · fact
- Yoo Tammy Choe (Chief Compliance Officer) appeared on Schedule A of Pgim Quantitative SolutionsMar 27, 2020 · Control person joined · fact
- Bradley Adam Broder (Member, Board Of Managers) appeared on Schedule A of Pgim Quantitative SolutionsMar 29, 2019 · Control person joined · fact
- Stephanie Margaret Stumpp (Member, Board Of Managers) no longer on Schedule A of Pgim Quantitative Solutions (listed 2019-01-17, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Pgim Quantitative Solutions · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/PGIMreportedpublic record, Form ADV, Sep 17, 2026
- Website
- PGIM.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 973-367-4653reportedpublic record, Form ADV, Jul 1, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026