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.
Former SEC-registered adviser
Pgim Multi-Asset Solutions LLC
Latest filing Mar 25, 2025
First filing on the tape Mar 19, 2012 · 30 filings
SEC status approved since Aug 16, 2005
RAUM
$26B
reported, Item 5.F
Discretionary
100%
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
39
30 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$26B as of Mar 25, 2025
Mar 19, 2012$5.5B then
HNW client RAUM$0 as of Mar 25, 2025
Mar 29, 2018$0 then
State-registered IARs (5.B.3)7 as of Mar 25, 2025
Mar 19, 20120 then
Employees (5.A)39 as of Mar 25, 2025
Mar 7, 201311 then
Private funds: no history
RAUM +96% over the last fiscal yearIARs 4 to 7
Practice profile
derived from the filing of Mar 25, 2025; every figure names its basis
- RAUM per advisor
- $3.8BderivedRAUM 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
- $8.8BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.6derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +96%derivedbetween the last two annual amendments
- Advisor growth, one year
- +75%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $16B, 2 clientsreportedItem 9.A
- 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$26B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $16B for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Li Cheng · Chief Financial Officer & Manager, Board Of Managerscontrolsince 01/2022 · owns less than 5%
- Elizabeth Patricia Flynn · Vice President And Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- Alfred Lerman · Chief Investment Officer & Manager, Board Of Managerscontrolsince 09/2021 · owns less than 5%
- Michael Jason Roach · Chief Operating Officer & Manager, Board Of Managerscontrolsince 11/2022 · owns less than 5%
- Marie Karen Sills · Vice President And Chief Legal Officercontrolsince 04/2022 · owns less than 5%
- Philip George Waldeck · President And Chief Executive Officer & Manager, Board Of Managerscontrolsince 09/2021 · owns less than 5%
Entity owners
- Pgim Holding Company LLC · Sole Memberdirect · owns 75% or more
- Prudential Financial, Inc. · Ownerindirect · owns 75% or more of Pgim Holding Company LLC · public reporting company
Related persons
Schedule D 7.A
- Pgim Custom Harvest LLCinvestment advisernRAUM $6.9B
- Pgim Dc Solutionsinvestment advisernRAUM $6.9B
- Pgim Investments LLCinvestment adviserbanknRAUM $345B
- Pgim Japan Co., Ltd.investment advisern
- Pgim Private Placement Investors, L.P.investment adviserpooled vehicle sponsornRAUM $24B
- Pgim Quantitative Solutionsinvestment adviserbanknRAUM $111B
- Pgim Real Estate Advisors LLCinvestment advisern
- Pgim, Inc.investment adviserbankpooled vehicle sponsornRAUM $1132B
- Prudential Investment Management Services LLCbroker-dealern
- Prudential Select Strategies LLCinvestment advisernRAUM $23B
- The Prudential Insurance Company Of Americainvestment adviserreal estatenRAUM $251M
Advisers that list Pgim Multi-Asset Solutions LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2 to 3Oct 2, 2024 to Mar 25, 2025
- Advisory employees · 26 to 30Oct 2, 2024 to Mar 25, 2025
- Assets in custody · $13B to $16BOct 2, 2024 to Mar 25, 2025
- Employees · 31 to 39Oct 2, 2024 to Mar 25, 2025
- Financial planning clients · unset to Oct 2, 2024 to Mar 25, 2025
- State-registered IARs · 4 to 7Oct 2, 2024 to Mar 25, 2025
- Discretionary RAUM · $13B to $26BOct 2, 2024 to Mar 25, 2025
- RAUM · $13B to $26BOct 2, 2024 to Mar 25, 2025
- Business name · PGIM PORTFOLIO ADVISORY to PGIM MULTI-ASSET SOLUTIONS LLCOct 1, 2024 to Oct 2, 2024
- Legal name · PGIM PORTFOLIO ADVISORY LLC to PGIM MULTI-ASSET SOLUTIONS LLCOct 1, 2024 to Oct 2, 2024
- Accounts · 0 to 2Sep 14, 2023 to Mar 26, 2024
- Advisory employees · 10 to 26Sep 14, 2023 to Mar 26, 2024
- BD registered reps · 4 to 7Sep 14, 2023 to Mar 26, 2024
- Assets in custody · unset to 13386849702.0Sep 14, 2023 to Mar 26, 2024
- Custody of client assets · false to trueSep 14, 2023 to Mar 26, 2024
- Employees · 10 to 31Sep 14, 2023 to Mar 26, 2024
- Insurance-licensed employees · 1 to 0Sep 14, 2023 to Mar 26, 2024
- State-registered IARs · 2 to 4Sep 14, 2023 to Mar 26, 2024
- Discretionary RAUM · $0 to $13BSep 14, 2023 to Mar 26, 2024
- RAUM · $0 to $13BSep 14, 2023 to Mar 26, 2024
- Advisory employees · 7 to 10Jun 16, 2022 to Mar 30, 2023
- BD registered reps · 0 to 4Jun 16, 2022 to Mar 30, 2023
- Employees · 7 to 10Jun 16, 2022 to Mar 30, 2023
- Insurance-licensed employees · 0 to 1Jun 16, 2022 to Mar 30, 2023
- State-registered IARs · 0 to 2Jun 16, 2022 to Mar 30, 2023
- Legal name · PRUDENTIAL INTERNATIONAL INVESTMENTS ADVISERS, LLC to PGIM PORTFOLIO ADVISORY LLCJun 16, 2022 to Mar 30, 2023
- Business name · PGIM GLOBAL PARTNERS to PGIM PORTFOLIO ADVISORYJan 28, 2022 to Jun 16, 2022
- Accounts · 19 to 0Mar 24, 2021 to Jan 28, 2022
- Advisory employees · 2 to 7Mar 24, 2021 to Jan 28, 2022
- Pooled vehicle clients · 3 to 0Mar 24, 2021 to Jan 28, 2022
- Discretionary RAUM · $6.8B to $0Mar 24, 2021 to Jan 28, 2022
- Pooled vehicle RAUM · $6.8B to $0Mar 24, 2021 to Jan 28, 2022
- RAUM · $6.8B to $0Mar 24, 2021 to Jan 28, 2022
- Accounts · 18 to 19Dec 18, 2020 to Mar 24, 2021
- Employees · 6 to 7Dec 18, 2020 to Mar 24, 2021
- Discretionary RAUM · $6.2B to $6.8BDec 18, 2020 to Mar 24, 2021
- Pooled vehicle RAUM · $6.2B to $6.8BDec 18, 2020 to Mar 24, 2021
- RAUM · $6.2B to $6.8BDec 18, 2020 to Mar 24, 2021
- Accounts · 23 to 18Mar 26, 2020 to Dec 18, 2020
- Discretionary RAUM · $6.7B to $6.2BMar 26, 2020 to Dec 18, 2020
Signals
28 dated events
- Pgim Multi-Asset Solutions Llc no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $26.3B)Apr 1, 2026 · Left the SEC roster · derived
- Pgim Multi-Asset Solutions Llc reported RAUM $26.3B, up 96% from $13.4B (2024-10-02 to 2025-03-25)Mar 25, 2025 · RAUM change · derived
- Michael Jason Roach (Vice President And Chief Operating Officer) appeared on Schedule A of Pgim Multi-Asset Solutions LlcMar 30, 2023 · Control person joined · fact
- Paul Alfred Lerman (Managing Director And Chief Investment Officer) no longer on Schedule A of Pgim Multi-Asset Solutions Llc (listed 2022-01-28, absent 2022-06-16)Jun 16, 2022 · Control person left · inference
- Yafeu. Jelani Roper (Secretary) no longer on Schedule A of Pgim Multi-Asset Solutions Llc (listed 2022-01-28, absent 2022-06-16)Jun 16, 2022 · Control person left · inference
- Alan Chad Earnst (Vice President And Chief Compliance Officer) no longer on Schedule A of Pgim Multi-Asset Solutions Llc (listed 2022-01-28, absent 2022-06-16)Jun 16, 2022 · Control person left · inference
- Baker Maureen Fialcowitz (Vice President And Chief Legal Officer) no longer on Schedule A of Pgim Multi-Asset Solutions Llc (listed 2022-01-28, absent 2022-06-16)Jun 16, 2022 · Control person left · inference
- Alfred Lerman (Managing Director And Chief Investment Officer And Director) appeared on Schedule A of Pgim Multi-Asset Solutions LlcJun 16, 2022 · Control person joined · fact
- Elizabeth Patricia Flynn (Vice President And Chief Compliance Officer) appeared on Schedule A of Pgim Multi-Asset Solutions LlcJun 16, 2022 · Control person joined · fact
- Marie Karen Sills (Vice President And Chief Legal Officer) appeared on Schedule A of Pgim Multi-Asset Solutions LlcJun 16, 2022 · Control person joined · fact
- Pgim Multi-Asset Solutions Llc reported RAUM $0, down 100% from $6.8B (2021-03-24 to 2022-01-28)Jan 28, 2022 · RAUM change · derived
- Gerard Bernard Ohara (Vice President, Controller, And Member Of Board Of Managers) no longer on Schedule A of Pgim Multi-Asset Solutions Llc (listed 2021-03-24, absent 2022-01-28)Jan 28, 2022 · Control person left · inference
- David Christopher Sciglitano (Member Of Board Of Managers) no longer on Schedule A of Pgim Multi-Asset Solutions Llc (listed 2021-03-24, absent 2022-01-28)Jan 28, 2022 · Control person left · inference
- Eric Michael Director (Chief Investment Risk Officer) no longer on Schedule A of Pgim Multi-Asset Solutions Llc (listed 2021-03-24, absent 2022-01-28)Jan 28, 2022 · Control person left · inference
- Steven Matthew Villa (Chief Compliance Officer) no longer on Schedule A of Pgim Multi-Asset Solutions Llc (listed 2021-03-24, absent 2022-01-28)Jan 28, 2022 · Control person left · inference
- Li Cheng (Director, Vice President, Finance And Chief Financial Officer) appeared on Schedule A of Pgim Multi-Asset Solutions LlcJan 28, 2022 · Control person joined · fact
- Alan Chad Earnst (Vice President And Chief Compliance Officer) appeared on Schedule A of Pgim Multi-Asset Solutions LlcJan 28, 2022 · Control person joined · fact
- Baker Maureen Fialcowitz (Vice President And Chief Legal Officer) appeared on Schedule A of Pgim Multi-Asset Solutions LlcJan 28, 2022 · Control person joined · fact
- Paul Alfred Lerman (Managing Director And Chief Investment Officer) appeared on Schedule A of Pgim Multi-Asset Solutions LlcJan 28, 2022 · Control person joined · fact
- Philip George Waldeck (Director, Senior Vice President, And President And Chief Executive Officer) appeared on Schedule A of Pgim Multi-Asset Solutions LlcJan 28, 2022 · Control person joined · fact
- Peter Glenwyn Baptist (President, Ceo And Member, Board Of Managers) no longer on Schedule A of Pgim Multi-Asset Solutions Llc (listed 2021-03-24, absent 2022-01-28)Jan 28, 2022 · Control person left · inference
- Eric Michael Director (Chief Investment Risk Officer) appeared on Schedule A of Pgim Multi-Asset Solutions LlcMar 24, 2021 · Control person joined · fact
- Lindley John Bronson (Secretary (Acts As Chief Legal Officer)) no longer on Schedule A of Pgim Multi-Asset Solutions Llc (listed 2019-03-28, absent 2020-03-26)Mar 26, 2020 · Control person left · inference
- Yafeu. Jelani Roper (Secretary, Also Serving As Chiel Legal Officer) appeared on Schedule A of Pgim Multi-Asset Solutions LlcMar 26, 2020 · Control person joined · fact
- Gerard Bernard Ohara (Vice President, Controller, And Member Of Board Of Managers) appeared on Schedule A of Pgim Multi-Asset Solutions LlcMar 28, 2019 · Control person joined · fact
- David Christopher Sciglitano (Member Of Board Of Managers) appeared on Schedule A of Pgim Multi-Asset Solutions LlcMar 28, 2019 · Control person joined · fact
- Daniel Brian Nee (Vice President, Controller And Member Of Board Of Managers) no longer on Schedule A of Pgim Multi-Asset Solutions Llc (listed 2018-08-02, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- John Praveen (Vp & Member, Board Of Managers) no longer on Schedule A of Pgim Multi-Asset Solutions Llc (listed 2018-08-02, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda 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