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 Wadhwani Llp

Former SEC-registered adviserLondon, CRD 161434SEC 801-96244IAPD
Latest filing Aug 6, 2024
First filing on the tape Apr 29, 2015 · 23 filings
RAUM
$1.6B
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
49
25 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$1.1B gross assets
History
23 filings and snapshots on the tape
RAUM$1.6B as of Mar 27, 2024
Mar 30, 2016$1.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2024
Mar 30, 20160 then
Employees (5.A)49 as of Mar 27, 2024
Mar 30, 201632 then
Private funds4 as of Mar 27, 2024
Mar 30, 20162 then
RAUM -4.9% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 6, 2024; 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
$177MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
8.4%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
-4.9%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-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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.4B88%
  • State and municipal entities$102M6.4%
  • Investment companies$39.4M2.5%
  • Charitable organizations$32.1M2.0%
  • Other investment advisers$20.8M1.3%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      The Keynes Leveraged Quantitative Strategies Master Fund LimitedHedge Fund$733M25Mar 30, 2012
      The Keynes Dynamic Beta Strategy (Offshore) Master Fund LimitedHedge Fund$281M15Jan 17, 2019
      The Keynes Multi Asset Value Master Fund Limitedno longer reportedHedge Fund$142M7Mar 30, 2016
      Commodity & Macro Tail Risk Master Fund LimitedHedge Fund$60.1M9Mar 30, 2022
      Pgim Wadhwani Macro Tail Risk Master Fund LimitedHedge Fund$36.5M3Mar 30, 2023
      The Keynes Quantitative Strategies Master Fund Limitedno longer reportedHedge Fund$4.7M4Mar 30, 2012
      The Keynes Multi Risk Premia Master Fund Limitedno longer reportedHedge Fund$00Apr 12, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • James Thomas Andrews · Co-Ciocontrol
        since 08/2024 · owns less than 5%
      • Guy Ramon Cummins · Coocontrol
        since 10/2017 · owns less than 5%
      • Pradip Dasani · Cfocontrol
        since 01/2005 · owns less than 5%
      • Gerald Mark Fresson · Member Of Management Committeecontrol
        since 05/2022 · owns less than 5%
      • Tilton Linda Gibson · Chairman, Pgim Wadhwani And Ceo, Pgim Quantitative Solutionscontrol
        since 01/2022 · owns less than 5%
      • Apostolos Katsaris · Co-Ciocontrol
        since 08/2024 · owns less than 5%
      • Richard Michael Ketley · Caocontrol
        since 06/2020 · owns less than 5%
      • Dawn Pallitto · Chief Compliance Officercontrol
        since 09/2022 · owns less than 5%
      • Loveday Zillah Richards · Head Of Compliance, Uk (Fca Smf16/17)control
        since 09/2022 · owns less than 5%
      Entity owners
      • Pgim Financial Limited · Partner
        direct · owns 50% to 75%
      • Wadhwani Capital Limited · Partner
        direct · owns 25% to 50%
      • Pgim Holding Company LLC · Shareholder
        indirect · owns 75% or more of Pgim, Inc. · public reporting company
      • Pgim, Inc. · Shareholder
        indirect · owns 75% or more of Pgim Financial Limited
      • Prudential Financial, Inc · Shareholder
        indirect · owns 75% or more of Pgim Holding Company LLC · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Pgim Wadhwani Llp as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 9
        Jan 10, 2024 to Mar 27, 2024
      • Advisory employees · 24 to 25
        Jan 10, 2024 to Mar 27, 2024
      • Charity clients · unset to 1.0
        Jan 10, 2024 to Mar 27, 2024
      • Employees · 47 to 49
        Jan 10, 2024 to Mar 27, 2024
      • Discretionary RAUM · $1.7B to $1.6B
        Jan 10, 2024 to Mar 27, 2024
      • Pooled vehicle RAUM · $1.5B to $1.4B
        Jan 10, 2024 to Mar 27, 2024
      • RAUM · $1.7B to $1.6B
        Jan 10, 2024 to Mar 27, 2024
      • Accounts · 6 to 8
        Sep 16, 2022 to Mar 30, 2023
      • Advisory employees · 21 to 24
        Sep 16, 2022 to Mar 30, 2023
      • Pooled vehicle clients · 4 to 5
        Sep 16, 2022 to Mar 30, 2023
      • Employees · 40 to 47
        Sep 16, 2022 to Mar 30, 2023
      • Private funds · 3 to 4
        Sep 16, 2022 to Mar 30, 2023
      • Discretionary RAUM · $1.3B to $1.7B
        Sep 16, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $1.2B to $1.5B
        Sep 16, 2022 to Mar 30, 2023
      • RAUM · $1.3B to $1.7B
        Sep 16, 2022 to Mar 30, 2023
      • Accounts · 4 to 6
        Oct 18, 2021 to Mar 30, 2022
      • Advisory employees · 19 to 21
        Oct 18, 2021 to Mar 30, 2022
      • Advisory activities · 2 to 3
        Oct 18, 2021 to Mar 30, 2022
      • Business name · QMA WADHWANI LLP to PGIM WADHWANI LLP
        Oct 18, 2021 to Mar 30, 2022
      • Pooled vehicle clients · 3 to 4
        Oct 18, 2021 to Mar 30, 2022
      • Employees · 36 to 40
        Oct 18, 2021 to Mar 30, 2022
      • Legal name · QMA WADHWANI LLP to PGIM WADHWANI LLP
        Oct 18, 2021 to Mar 30, 2022
      • Discretionary RAUM · $1.2B to $1.3B
        Oct 18, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $1.1B to $1.2B
        Oct 18, 2021 to Mar 30, 2022
      • RAUM · $1.2B to $1.3B
        Oct 18, 2021 to Mar 30, 2022
      • Accounts · 5 to 4
        Sep 14, 2020 to Mar 31, 2021
      • Advisory employees · 20 to 19
        Sep 14, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 4 to 3
        Sep 14, 2020 to Mar 31, 2021
      • Discretionary RAUM · $975M to $1.2B
        Sep 14, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $902M to $1.1B
        Sep 14, 2020 to Mar 31, 2021
      • RAUM · $975M to $1.2B
        Sep 14, 2020 to Mar 31, 2021
      • Accounts · 7 to 5
        Mar 29, 2019 to Mar 30, 2020
      • Advisory employees · 16 to 20
        Mar 29, 2019 to Mar 30, 2020
      • Business name · WADHWANI ASSET MANAGEMENT LLP to QMA WADHWANI LLP
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 6 to 4
        Mar 29, 2019 to Mar 30, 2020
      • Employees · 34 to 36
        Mar 29, 2019 to Mar 30, 2020
      • Legal name · WADHWANI ASSET MANAGEMENT LLP to QMA WADHWANI LLP
        Mar 29, 2019 to Mar 30, 2020
      • Private funds · 4 to 3
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $1.3B to $975M
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $1.2B to $902M
        Mar 29, 2019 to Mar 30, 2020
      Signals
      23 dated events
      • Apostolos Katsaris (Co-Cio) appeared on Schedule A of Pgim Wadhwani Llp
        Aug 6, 2024 · Control person joined · fact
      • James Thomas Andrews (Co-Cio) appeared on Schedule A of Pgim Wadhwani Llp
        Aug 6, 2024 · Control person joined · fact
      • Jeremy Michael Dicks (Chief Investment Officer) no longer on Schedule A of Pgim Wadhwani Llp (listed 2024-03-27, absent 2024-08-06)
        Aug 6, 2024 · Control person left · inference
      • Jeremy Michael Dicks (Chief Investment Officer) appeared on Schedule A of Pgim Wadhwani Llp
        Jan 10, 2024 · Control person joined · fact
      • Baldev Sushil Wadhwani (Cio) no longer on Schedule A of Pgim Wadhwani Llp (listed 2023-04-21, absent 2024-01-10)
        Jan 10, 2024 · Control person left · inference
      • Thomas Roy Martins (Chief Business Officer) no longer on Schedule A of Pgim Wadhwani Llp (listed 2023-04-21, absent 2024-01-10)
        Jan 10, 2024 · Control person left · inference
      • Pgim Wadhwani Llp reported RAUM $1.7B, up 26% from $1.3B (2022-09-16 to 2023-03-30)
        Mar 30, 2023 · RAUM change · derived
      • Thomas Roy Martins (Chief Business Officer) appeared on Schedule A of Pgim Wadhwani Llp
        Mar 30, 2023 · Control person joined · fact
      • Gerald Mark Fresson (Member Of Management Committee) appeared on Schedule A of Pgim Wadhwani Llp
        Mar 30, 2023 · Control person joined · fact
      • Loveday Zillah Richards (Head Of Compliance, Uk (Fca Smf16/17)) appeared on Schedule A of Pgim Wadhwani Llp
        Sep 16, 2022 · Control person joined · fact
      • Dawn Pallitto (Chief Compliance Officer) appeared on Schedule A of Pgim Wadhwani Llp
        Sep 16, 2022 · Control person joined · fact
      • Ballantyne Andrew Crain (Cco) no longer on Schedule A of Pgim Wadhwani Llp (listed 2022-05-17, absent 2022-09-16)
        Sep 16, 2022 · Control person left · inference
      • Charles Louis Andrew Dyson (Chairman) no longer on Schedule A of Pgim Wadhwani Llp (listed 2021-10-18, absent 2022-03-30)
        Mar 30, 2022 · Control person left · inference
      • Tilton Linda Gibson (Ceo, Pgim Quantitative Solutions) appeared on Schedule A of Pgim Wadhwani Llp
        Oct 18, 2021 · Control person joined · fact
      • Michel Wynne Patric De Gentile-Williams (Senior Advisor) no longer on Schedule A of Pgim Wadhwani Llp (listed 2020-03-30, absent 2020-06-22)
        Jun 22, 2020 · Control person left · inference
      • Yoo Tammy Choe (Cco) no longer on Schedule A of Pgim Wadhwani Llp (listed 2020-03-30, absent 2020-06-22)
        Jun 22, 2020 · Control person left · inference
      • Richard Michael Ketley (Cao) appeared on Schedule A of Pgim Wadhwani Llp
        Jun 22, 2020 · Control person joined · fact
      • Ballantyne Andrew Crain (Cco) appeared on Schedule A of Pgim Wadhwani Llp
        Jun 22, 2020 · Control person joined · fact
      • Yoo Tammy Choe (Cco) appeared on Schedule A of Pgim Wadhwani Llp
        Mar 30, 2020 · Control person joined · fact
      • Pgim Wadhwani Llp reported RAUM $1.3B, down 29% from $1.8B (2019-01-18 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • Charles Louis Andrew Dyson (Chairman) appeared on Schedule A of Pgim Wadhwani Llp
        Jan 17, 2019 · Control person joined · fact
      • Bahram Pesaran (Partner) no longer on Schedule A of Pgim Wadhwani Llp (listed 2018-04-12, absent 2019-01-17)
        Jan 17, 2019 · Control person left · inference
      • Wadhwani Asset Management Llp filed its initial SEC registration (Form ADV)
        Apr 29, 2015 · First SEC registration · fact
      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