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.
Latest filing Aug 25, 2026
First filing on the tape Feb 14, 2012 · 51 filings
SEC status approved since Mar 30, 2012
RAUM
$76B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.1%
$870M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
299
146 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
24
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$76B as of Aug 25, 2026
Mar 27, 2013$19B then
HNW client RAUM$870M as of Aug 25, 2026
Mar 29, 2019$0 then
State-registered IARs (5.B.3)0 as of Aug 25, 2026
Mar 27, 20130 then
Employees (5.A)299 as of Aug 25, 2026
Mar 27, 2013123 then
Private funds24 as of Aug 25, 2026
Mar 27, 20131 then
RAUM +17% over the last fiscal year+8.8% a year over threeIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of Aug 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $277MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 61%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, publications, educational seminarsreportedItem 5.G
- Custody
- $150M, 1 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Sovereign wealth funds$29B38%
- Pooled investment vehicles$22B29%
- Pension and profit-sharing plans$15B19%
- Investment companies$2.5B3.3%
- Insurance companies$2.2B2.9%
- Other investment advisers$1.6B2.1%
- Banks and thrifts$1.4B1.9%
- Corporations and businesses$1.3B1.7%
- High-net-worth individuals$870M1.1%
- State and municipal entities$651M0.9%
- Charitable organizations$3.6M0.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 71reported
- Charitable clients
- 0reported
- Accounts
- 276reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $150M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.34 institutional_share=0.61 related_bd=true related_bank=true bd_reps=6.0derived
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
29 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Dryden 56 Euro Clo 2017 Dac | Securitized Asset Fund | $586M | 0 | Apr 13, 2018 |
| Dryden 91 Euro Clo 2021 Dac | Securitized Asset Fund | $543M | 0 | Mar 30, 2022 |
| Dryden 39 Euro Clo 2015 Dac | Securitized Asset Fund | $539M | 0 | Aug 21, 2015 |
| Dryden 79 Euro Clo 2020 Dac | Securitized Asset Fund | $538M | 0 | Mar 30, 2020 |
| Dryden Xxvii Euro Clo 2013 B.V.no longer reported | Securitized Asset Fund | $503M | 0 | Mar 28, 2014 |
| Dryden 27-R Euro Clo 2017 Dac | Securitized Asset Fund | $497M | 0 | Apr 13, 2018 |
| Dryden 59 Euro Clo 2017 Dac | Securitized Asset Fund | $489M | 0 | Apr 13, 2018 |
| Dryden 46 Euro Clo 2016 Dac | Securitized Asset Fund | $484M | 0 | Mar 31, 2017 |
| Dryden 89 Euro Clo 2020 Dac | Securitized Asset Fund | $479M | 0 | Mar 30, 2022 |
| Dryden 62 Euro Clo 2017 Dac | Securitized Asset Fund | $474M | 0 | Mar 29, 2019 |
| Dryden 35 Euro Clo 2014 Dac | Securitized Asset Fund | $456M | 0 | Mar 30, 2015 |
| Dryden 74 Euro Clo 2020 Dac | Securitized Asset Fund | $436M | 0 | Mar 30, 2020 |
| Dryden 103 Euro Clo 2021 Dac | Securitized Asset Fund | $435M | 0 | Mar 30, 2022 |
| Dryden 88 Euro Clo 2020 Dac | Securitized Asset Fund | $430M | 0 | Mar 30, 2022 |
| Dryden 96 Euro Clo 2021 Dac | Securitized Asset Fund | $430M | 0 | Mar 30, 2022 |
| Dryden 69 Euro Clo 2018 Dac | Securitized Asset Fund | $430M | 0 | Mar 30, 2020 |
| Dryden 73 Euro Clo 2018 Dac | Securitized Asset Fund | $428M | 0 | Mar 30, 2020 |
| Dryden 66 Euro Clo 2018 Dac | Securitized Asset Fund | $428M | 0 | Mar 29, 2019 |
| Dryden 44 Euro Clo 2015 Dac | Securitized Asset Fund | $427M | 0 | Mar 30, 2016 |
| Dryden 48 Euro Clo 2016 Dac | Securitized Asset Fund | $426M | 0 | Mar 31, 2017 |
| Dryden 52 Euro Clo 2017 Dac | Securitized Asset Fund | $422M | 0 | Apr 13, 2018 |
| Dryden 29 Euro Clo 2013 Dac | Securitized Asset Fund | $405M | 0 | Mar 28, 2014 |
| Dryden 32 Euro Clo 2014 Dac | Securitized Asset Fund | $402M | 0 | Mar 30, 2015 |
| Rmf Euro Cdo III Plcno longer reported | Securitized Asset Fund | $373M | 3 | Feb 14, 2012 |
| Dryden 51 Euro Clo 2017 Dac | Securitized Asset Fund | $353M | 0 | Apr 13, 2018 |
| Dryden 101 Euro Clo 2021 Dacno longer reported | Securitized Asset Fund | $113M | 0 | Mar 30, 2022 |
| Gateway II Euro Clo B.V.no longer reported | Securitized Asset Fund | $422,905 | 0 | Feb 14, 2012 |
| Dryden 63 Gbp Clo 2018 Dacno longer reported | Securitized Asset Fund | $0 | 0 | Mar 29, 2019 |
| Legos LPno longer reported | Real Estate Fund | $0 | 0 | Aug 21, 2015 |
Owners and control persons
Schedule A and B, latest filing
- Paul Jonathan Butler · Managing Director, Directorcontrolsince 01/2011 · owns less than 5%
- Batoolah Dawreeawoo · Chief Legal Officercontrolsince 10/2019 · owns less than 5%
- Mcmurdo Edward Farley · Managing Director And Head Of European Investment Gradecontrolsince 10/2019 · owns less than 5%
- Marie Jennifer Finnerty · Risk Managercontrolsince 12/2021 · owns less than 5%
- Gerald Mark Fresson · Vice President, Directorcontrolsince 04/2018 · owns less than 5%
- James Daniel Malooly · Managing Directorcontrolsince 10/2021 · owns less than 5%
- Elizabeth Sarah Mcmullen · Principal And Head Of Emea Client Advisorycontrolsince 10/2019 · owns less than 5%
- Edward Darren Nicholls · Risk Manager, Directorcontrolsince 11/2022 · owns less than 5%
- Lee Susan Pollard · Human Resources Directorcontrolsince 12/2021 · owns less than 5%
- Ann Elizabeth Samson · Vice President, Directorcontrolsince 11/2016 · owns less than 5%
- Vasel Vataj · Finance Director (Non-Executive)controlsince 01/2024 · owns less than 5%
- Robert Stephen Warren · Managing Directorcontrolsince 09/2021 · owns less than 5%
- John Andrew Donohue · Chief Compliance Officersince 10/2024 · owns less than 5%
Entity owners
- Pgim Financial Limited · Shareholderdirect · owns 75% or more
- Pgim Holding Company LLC · Shareholderindirect · owns 75% or more of Pgim, Inc.
- Pgim, Inc. · Shareholderindirect · owns 75% or more of Pgim Financial Limited
- Prudential Financial, Inc. · Shareholderindirect · owns 75% or more of Pgim Holding Company LLC · public reporting company
Related persons
Schedule D 7.A
- Asia Property Fund III Gp S.A.R.L.investment adviserpooled vehicle sponsorn
- Ast Investment Services, Inc.investment adviserbanknRAUM $91B
- Eip Gp S.A R.L.investment adviserpooled vehicle sponsorn
- Eurocore Gp S.A.R.L.investment adviserpooled vehicle sponsorn
- European Value Partners Gp S.A.R.L.investment adviserpooled vehicle sponsorn
- Evp II Gp S.A.R.L.investment adviserpooled vehicle sponsorn
- Ficg-Pg-I Fund Gp, LLCinvestment adviserpooled vehicle sponsorn
- German Retail Income Gp Limitedinvestment adviserpooled vehicle sponsorn
- Jennison Associatesinvestment adviserbankpooled vehicle sponsornRAUM $215B
- Montana Capital Partners Aginvestment adviserpooled vehicle sponsorn
- Peref II Gp S.A.R.L.investment adviserpooled vehicle sponsorn
- Pgim (Australia) Pty Limitedinvestment advisern
- Pgim (Hong Kong) Ltd.broker-dealerinvestment advisern
- Pgim (Scots) Ltdinvestment adviserpooled vehicle sponsorn
- Pgim (Singapore) Pte Limitedinvestment advisern
- Pgim Avp IV Gp S.A.R.L.investment adviserpooled vehicle sponsorn
- Pgim Broad Market High Yield Bond Partners, LLCinvestment advisern
- Pgim Fixed Income Alternatives Gp, LLCinvestment adviserpooled vehicle sponsorn
- Pgim Fixed Income Alternatives II Gp, LLCpooled vehicle sponsorn
- Pgim Fixed Income Special Opportunities Fund I Gp, LLCinvestment adviserpooled vehicle sponsorn
- Pgim Foreign Investments, Inc.investment adviserpooled vehicle sponsorn
- Pgim Investments (Ireland) Limitedinvestment adviserpooled vehicle sponsorn
- Pgim Investments LLCinvestment adviserbanknRAUM $345B
- Pgim Japan Company Limitedinvestment advisern
- Pgim Loan Originator Manager Limitedinvestment advisern
- Pgim Luxembourg S.A.investment adviserpooled vehicle sponsornRAUM $19B
- Pgim Management Partner Limitedinvestment adviserpooled vehicle sponsorn
- Pgim Multi-Asset Solutions LLCinvestment advisernRAUM $26B
- Pgim Netherlands Bvinvestment advisern
- Pgim Fund Management Limitedinvestment adviserpooled vehicle sponsornRAUM $1.2B
Advisers that list Pgim Limited as a related person
Offices
Schedule D 1.F, the 25 largest
- Zurich, Switzerland4 employees
- Milan, Italy3 employees
What changed
consecutive filings, newest first
- Accounts · 270 to 276Jan 16, 2026 to Mar 27, 2026
- Advisory employees · 150 to 146Jan 16, 2026 to Mar 27, 2026
- BD registered reps · 5 to 6Jan 16, 2026 to Mar 27, 2026
- Corporate clients · unset to 5.0Jan 16, 2026 to Mar 27, 2026
- Pension plan clients · 68 to 71Jan 16, 2026 to Mar 27, 2026
- Pooled vehicle clients · 90 to 92Jan 16, 2026 to Mar 27, 2026
- Assets in custody · $131M to $150MJan 16, 2026 to Mar 27, 2026
- Employees · 331 to 299Jan 16, 2026 to Mar 27, 2026
- Other offices · 2 to 1Jan 16, 2026 to Mar 27, 2026
- Discretionary RAUM · $65B to $76BJan 16, 2026 to Mar 27, 2026
- HNW RAUM · $790M to $870MJan 16, 2026 to Mar 27, 2026
- Pension RAUM · $13B to $15BJan 16, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $21B to $22BJan 16, 2026 to Mar 27, 2026
- RAUM · $65B to $76BJan 16, 2026 to Mar 27, 2026
- Accounts · 257 to 270Oct 18, 2024 to Mar 28, 2025
- Pension plan clients · 67 to 68Oct 18, 2024 to Mar 28, 2025
- Assets in custody · $131M to $131MOct 18, 2024 to Mar 28, 2025
- Employees · 336 to 331Oct 18, 2024 to Mar 28, 2025
- Financial planning clients · unset to Oct 18, 2024 to Mar 28, 2025
- HQ state · unset to Oct 18, 2024 to Mar 28, 2025
- Private funds · 23 to 24Oct 18, 2024 to Mar 28, 2025
- Discretionary RAUM · $64B to $65BOct 18, 2024 to Mar 28, 2025
- HNW RAUM · $0 to $790MOct 18, 2024 to Mar 28, 2025
- Pension RAUM · $12B to $13BOct 18, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $24B to $21BOct 18, 2024 to Mar 28, 2025
- RAUM · $64B to $65BOct 18, 2024 to Mar 28, 2025
- Accounts · 259 to 257Mar 30, 2023 to Mar 29, 2024
- Advisory employees · 157 to 150Mar 30, 2023 to Mar 29, 2024
- Advisory activities · 3 to 5Mar 30, 2023 to Mar 29, 2024
- BD registered reps · 4 to 5Mar 30, 2023 to Mar 29, 2024
- Pooled vehicle clients · 87 to 90Mar 30, 2023 to Mar 29, 2024
- Assets in custody · $139M to $131MMar 30, 2023 to Mar 29, 2024
- Employees · 293 to 336Mar 30, 2023 to Mar 29, 2024
- Private funds · 25 to 23Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $59B to $64BMar 30, 2023 to Mar 29, 2024
- Pension RAUM · $10B to $12BMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $23B to $24BMar 30, 2023 to Mar 29, 2024
- RAUM · $59B to $64BMar 30, 2023 to Mar 29, 2024
- Accounts · 246 to 259Nov 15, 2022 to Mar 30, 2023
- Advisory employees · 128 to 157Nov 15, 2022 to Mar 30, 2023
Signals
26 dated events
- Ballantyne Andrew Crain (Vice President, Emea Chief Compliance Officer) no longer on Schedule A of Pgim Limited (listed 2024-03-29, absent 2024-10-18)Oct 18, 2024 · Control person left · inference
- Vasel Vataj (Finance Director (Non-Executive)) appeared on Schedule A of Pgim LimitedMar 29, 2024 · Control person joined · fact
- M Adam Rosenthal (Risk Management Director) no longer on Schedule A of Pgim Limited (listed 2023-03-30, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Edward Darren Nicholls (Risk Manager, Director) appeared on Schedule A of Pgim LimitedMar 30, 2023 · Control person joined · fact
- Thomas Richard Greenwood (Managing Director, Director) no longer on Schedule A of Pgim Limited (listed 2022-03-30, absent 2022-04-25)Apr 25, 2022 · Control person left · inference
- Pgim Limited reported RAUM $62.9B, down 40% from $105.0B (2021-03-30 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Dipaola Kimberly Lapointe (Head Of Pgim Investments) no longer on Schedule A of Pgim Limited (listed 2021-03-30, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Robert Stephen Warren (Managing Director) appeared on Schedule A of Pgim LimitedMar 30, 2022 · Control person joined · fact
- Marie Jennifer Finnerty (Risk Manager) appeared on Schedule A of Pgim LimitedMar 30, 2022 · Control person joined · fact
- James Daniel Malooly (Managing Director) appeared on Schedule A of Pgim LimitedMar 30, 2022 · Control person joined · fact
- Lee Susan Pollard (Human Resources Director) appeared on Schedule A of Pgim LimitedMar 30, 2022 · Control person joined · fact
- M Adam Rosenthal (Risk Management Director) appeared on Schedule A of Pgim LimitedMar 30, 2022 · Control person joined · fact
- Pgim Limited reported RAUM $124.3B, up 159% from $48.0B (2020-02-25 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Raimondo Amabile (Managing Director, Director) no longer on Schedule A of Pgim Limited (listed 2020-02-25, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Carol Heather Day (Managing Director, Director) no longer on Schedule A of Pgim Limited (listed 2020-02-25, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Bernard Eric Collinet-Adler (Senior Managing Director, Chief Executive Officer, Pgim Real Estate) no longer on Schedule A of Pgim Limited (listed 2019-03-29, absent 2019-11-06)Nov 6, 2019 · Control person left · inference
- Mathew Philip Barrett (Managing Director, Director) no longer on Schedule A of Pgim Limited (listed 2019-03-29, absent 2019-11-06)Nov 6, 2019 · Control person left · inference
- Bruce Steven Saperstein (Vice President, Director) no longer on Schedule A of Pgim Limited (listed 2019-03-29, absent 2019-11-06)Nov 6, 2019 · Control person left · inference
- John Shearer Andrew Macland (Managing Director, Director) no longer on Schedule A of Pgim Limited (listed 2019-03-29, absent 2019-11-06)Nov 6, 2019 · Control person left · inference
- Keith Michael Lillard (Senior Managing Director, Chief Investment Officer & Head Of Pgim Fixed Income) no longer on Schedule A of Pgim Limited (listed 2019-03-29, absent 2019-11-06)Nov 6, 2019 · Control person left · inference
- Royal Mathew Crowther (Managing Director, Director) no longer on Schedule A of Pgim Limited (listed 2019-03-29, absent 2019-11-06)Nov 6, 2019 · Control person left · inference
- Dipaola Kimberly Lapointe (Head Of Pgim Investments) appeared on Schedule A of Pgim LimitedNov 6, 2019 · Control person joined · fact
- Mcmurdo Edward Farley (Managing Director And Head Of European Investment Grade) appeared on Schedule A of Pgim LimitedNov 6, 2019 · Control person joined · fact
- Elizabeth Sarah Mcmullen (Principal And Head Of Emea Client Advisory) appeared on Schedule A of Pgim LimitedNov 6, 2019 · Control person joined · fact
- Batoolah Dawreeawoo (Chief Legal Officer) appeared on Schedule A of Pgim LimitedNov 6, 2019 · Control person joined · fact
- Pgim Limited reported RAUM $43.3B, up 38% from $31.3B (2017-09-29 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Pramerica Fixed Income; Pramerica Real Estate Investors · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/PGIMIndiaMFreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/PGIM-Japanreportedpublic record, Form ADV, Sep 17, 2026
- Website
- pgim.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- +44 (0) 207 766 2400reportedpublic record, Form ADV, Aug 25, 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
- Other 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
Across the graphs
Pgim Limited is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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