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

Pruco Securities, LLC

No RAUM reportedNewark, New JerseyCRD 5685SEC 801-52208websiteIAPD
Latest filing May 19, 2026
First filing on the tape Mar 29, 2012 · 106 filings
SEC status approved since Jun 28, 1996
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
18
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
272
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
106 filings and snapshots on the tape
RAUM$0 as of May 19, 2026
Mar 29, 2012$2.9B then
HNW client RAUM$2.1B as of Mar 29, 2024
Mar 29, 2018$620M then
State-registered IARs (5.B.3)21 as of May 19, 2026
Mar 29, 20120 then
Employees (5.A)272 as of May 19, 2026
Mar 27, 20131,506 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 23 to 21offices 1 to 4
Practice profile
derived from the filing of May 19, 2026; every figure names its basis
Archetypes, each a printed rule
  • Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
15.1derivedItem 5.A over advisors
Advisors per office
3.6derived5 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-8.7%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
selection of other advisersreportedItem 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=186.0derived
Advisors registered through the firm
18 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Dawn Page HoltmeierNewark, Nj Nov 26, 200230 y0
Charles Michael OdonnellWestfield, Nj May 20, 200821 y0
Joseph Anthony PiloneNewark, Nj Sep 12, 201140 y0
Tomonori MinagawaSouth Lyon, Mi May 10, 201316 y0
Dexter Michael FelicianoShrewsbury, Nj Sep 28, 201526 y0
Jessica Lea WietmarschenNewark, Nj Feb 16, 201624 y1
Jenni Zhi KimberNewark, Nj Nov 23, 202020 y2
Douglas L WoolbertCazenovia, Ny Jun 30, 202129 y5
Matthew Stephen WeaverCertified Financial PlannerNewark, Nj Sep 1, 202320 y5
Michael David SarfatiNewark, Nj Feb 11, 202515 y0
Gregory Blaine VanmeterFort Wayne, In Jun 20, 202525 y4
Sarah Rose ZawistowskiNewark, Nj Jun 26, 202516 y2
Jeffrey John SugiyamaNewark, Nj Jul 2, 202514 y2
Kayla WeisenNewark, Nj Sep 8, 202513 y0
John Patrick TwomeyNewark, Nj Jan 1, 202632 y0
Dana Lynn SimmonsLansdale, Pa Feb 20, 202615 y1
Jenny PetiotePiscataway, Nj Mar 16, 202622 y3
Bonnie L AlvarezNewark, Nj Apr 27, 202638 y2
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 5.6% of current headcount391 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Robert Nmn Begun · President, Principal Operations Officercontrol
    since 01/2021 · owns less than 5%
  • Bradford Oneil Hearn · Chairman, Elected Managercontrol
    since 12/2018 · owns less than 5%
  • Patrick Liam Hynes · Elected Managercontrol
    since 11/2018 · owns less than 5%
  • Robert Philip Smit · Chief Financial Officer, Principal Financial Officer, Controllercontrol
    since 02/2019 · owns less than 5%
  • Moira Murphy Buckley · Elected Manager
    since 08/2023 · owns less than 5%
  • Dexter Michael Feliciano · Chief Operating Officer, Vice President, Elected Manager
    since 10/2019 · owns less than 5%
  • Kelly Nicole Florio · Anti-Money Laundering Officer
    since 12/2021 · owns less than 5%
  • Anthony Michael Fontano · Elected Manager
    since 07/2017 · owns less than 5%
  • Conway Kwang-Wei Lee · Chief Compliance Officer
    since 04/2022 · owns less than 5%
  • Julia Ellen Moran · Chief Legal Officer
    since 09/2021 · owns less than 5%
Entity owners
  • The Prudential Insurance Company Of America · Sole Member
    direct · owns 75% or more
  • Prudential Financial, Inc. · Sole Member
    indirect · owns 75% or more of The Prudential Insurance Company Of America · public reporting company
Related persons
Schedule D 7.A
Advisers that list Pruco Securities, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Newark, Nj · principal1840
Aurora, Co100
Fort Wayne, In100
Levittown, Pa110
Basking Ridge, Nj000
Austin, Tx000
Anaheim, Ca000
Bakersfield, Ca000
Augusta, Ga000
Barnegat Township, Nj000
Carmel, In000
Batavia, Oh000
Baton Rouge, La000
Baytown, Tx000
Bismarck, Nd000
Babylon, Ny000
Coppell, Tx000
Boca Raton, Fl000
Branchburg, Nj000
Brookfield, Wi000
All 60 offices
Offices
Schedule D 1.F, the 25 largest
  • Newark, NJ14 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
  • high employee count relative to advisorsStatic outlier · filing May 19, 2026
    employees per registered advisor of 15.1 against a peer median of 1.3 (70 comparable advisers, 100.0th percentile, 33.1 robust deviations)
    peers: other advisers, under $100M (70) · 100% percentile
  • employee count surgeChange between filings · filing Mar 25, 2026
    employees (Item 5.A) moved from 116.0 to 272.0 (+134.0%) between the annual amendments of 2025-01-28 and 2026-03-25; the peer median change was 0.0% (103 comparable advisers, 99.0th percentile of changes)
    peers: other advisers, under $100M (103) · 99% percentile
How anomalies are measured
What changed
consecutive filings, newest first
  • Advisory employees · 0 to 4
    Mar 25, 2026 to May 19, 2026
  • BD registered reps · 209 to 186
    Feb 3, 2026 to Mar 25, 2026
  • Employees · 387 to 272
    Feb 3, 2026 to Mar 25, 2026
  • Financial planning clients · More than 500 to 0
    Feb 3, 2026 to Mar 25, 2026
  • State-registered IARs · 20 to 21
    Feb 3, 2026 to Mar 25, 2026
  • Advisory employees · 116 to 0
    Jan 28, 2025 to May 1, 2025
  • BD registered reps · 112 to 209
    Jan 28, 2025 to May 1, 2025
  • Employees · 116 to 387
    Jan 28, 2025 to May 1, 2025
  • Financial planning clients · More than 500 to More than 500
    Jan 28, 2025 to May 1, 2025
  • State-registered IARs · 23 to 20
    Jan 28, 2025 to May 1, 2025
  • Other offices · 1 to 4
    Jan 28, 2025 to May 1, 2025
  • Accounts · unset to 0.0
    Dec 24, 2024 to Jan 28, 2025
  • Discretionary RAUM · unset to 0.0
    Dec 24, 2024 to Jan 28, 2025
  • Non-discretionary RAUM · unset to 0.0
    Dec 24, 2024 to Jan 28, 2025
  • RAUM · unset to 0.0
    Dec 24, 2024 to Jan 28, 2025
  • Business name · PRUDENTIAL FINANCIAL PLANNING SERVICES to PRUCO SECURITIES, LLC
    Dec 10, 2024 to Dec 24, 2024
  • Accounts · 113575.0 to unset
    Jun 18, 2024 to Dec 10, 2024
  • Advisory employees · 2,700 to 116
    Jun 18, 2024 to Dec 10, 2024
  • Advisory activities · 5 to 1
    Jun 18, 2024 to Dec 10, 2024
  • BD registered reps · 2,700 to 112
    Jun 18, 2024 to Dec 10, 2024
  • Charity clients · 0.0 to unset
    Jun 18, 2024 to Dec 10, 2024
  • Corporate clients · 285.0 to unset
    Jun 18, 2024 to Dec 10, 2024
  • HNW clients · 1191.0 to unset
    Jun 18, 2024 to Dec 10, 2024
  • Individual clients · 109269.0 to unset
    Jun 18, 2024 to Dec 10, 2024
  • Pension plan clients · 0.0 to unset
    Jun 18, 2024 to Dec 10, 2024
  • Pooled vehicle clients · 0.0 to unset
    Jun 18, 2024 to Dec 10, 2024
  • Assets in custody · 7626309431.0 to unset
    Jun 18, 2024 to Dec 10, 2024
  • Custody of client assets · true to false
    Jun 18, 2024 to Dec 10, 2024
  • Employees · 2,700 to 116
    Jun 18, 2024 to Dec 10, 2024
  • State-registered IARs · 2,700 to 23
    Jun 18, 2024 to Dec 10, 2024
  • Other offices · 41 to 1
    Jun 18, 2024 to Dec 10, 2024
  • Discretionary RAUM · 4021144054.0 to unset
    Jun 18, 2024 to Dec 10, 2024
  • HNW RAUM · 2068245940.0 to unset
    Jun 18, 2024 to Dec 10, 2024
  • Individual RAUM · 13055169607.0 to unset
    Jun 18, 2024 to Dec 10, 2024
  • Non-discretionary RAUM · 12357658277.0 to unset
    Jun 18, 2024 to Dec 10, 2024
  • Pension RAUM · 0.0 to unset
    Jun 18, 2024 to Dec 10, 2024
  • Pooled vehicle RAUM · 0.0 to unset
    Jun 18, 2024 to Dec 10, 2024
  • RAUM · 16378802331.0 to unset
    Jun 18, 2024 to Dec 10, 2024
  • Wrap assets (manager) · 0.0 to unset
    Jun 18, 2024 to Dec 10, 2024
  • Wrap assets (sponsor) · 7179298875.0 to unset
    Jun 18, 2024 to Dec 10, 2024
Signals
60 dated events
  • Jennifer M Dixon left Pruco Securities, Llc for Thrivent Investment Management Inc. (registered 2025-11-05)
    Oct 20, 2025 · Advisor changed firm · fact
  • Robert Begun left Pruco Securities, Llc for Td Private Client Wealth Llc (registered 2025-11-06)
    Aug 4, 2025 · Advisor changed firm · fact
  • 3 advisors left LPL Enterprise, LLC (Newark, NJ) for Pruco Securities, LLC on the same day
    Jun 5, 2025 · Team lift-out · derived
  • Brad Nicholas Mcilvaine left Pruco Securities, Llc for Envestnet Pmc (registered 2025-08-28)
    May 19, 2025 · Advisor changed firm · fact
  • Vance Walter Copenhaver left Pruco Securities, Llc for Lpl Enterprise, Llc (registered 2025-08-01)
    Apr 8, 2025 · Advisor changed firm · fact
  • Ryan Derek Holbert left Pruco Securities, Llc for Cambridge Investment Research Advisors, Inc. (registered 2025-09-16)
    Feb 24, 2025 · Advisor changed firm · fact
  • Cheng Cheng Huang left Pruco Securities, Llc for Lpl Enterprise, Llc (registered 2025-01-24)
    Feb 12, 2025 · Advisor changed firm · fact
  • Jonathon Rogers left Pruco Securities, Llc for Lpl Financial Llc (registered 2026-06-02)
    Jan 24, 2025 · Advisor changed firm · fact
  • Salena R Amos left Pruco Securities, Llc for Edward Jones (registered 2025-03-24)
    Jan 24, 2025 · Advisor changed firm · fact
  • Suzana Romine left Pruco Securities, Llc for Transamerica Financial Advisors, Llc (registered 2025-04-07)
    Jan 2, 2025 · Advisor changed firm · fact
  • Thomas Douglas Carrion left Pruco Securities, Llc for Td Private Client Wealth Llc (registered 2026-04-06)
    Jan 2, 2025 · Advisor changed firm · fact
  • Renee Archoleka left Pruco Securities, Llc for Pnc Wealth Management (registered 2025-01-24)
    Jan 2, 2025 · Advisor changed firm · fact
  • Peter F Santiago left Pruco Securities, Llc for Morgan Stanley (registered 2025-05-20)
    Jan 2, 2025 · Advisor changed firm · fact
  • Lisa Ann Richmond left Pruco Securities, Llc for Gladstone Wealth Partners (registered 2025-05-05)
    Jan 2, 2025 · Advisor changed firm · fact
  • Cory Todd Logan left Pruco Securities, Llc for Rockefeller Capital Management (registered 2025-09-17)
    Jan 2, 2025 · Advisor changed firm · fact
  • Peter Casey Gayle (Elected Manager) no longer on Schedule A of Pruco Securities, Llc (listed 2024-12-10, absent 2024-12-24)
    Dec 24, 2024 · Control person left · inference
  • James Patrick Brattensborg left Pruco Securities, Llc for Nationwide Investment Advisors, Llc (registered 2025-07-02)
    Dec 10, 2024 · Advisor changed firm · fact
  • Lori Reiman left Pruco Securities, Llc for Empower Advisory Group, Llc (registered 2025-05-28)
    Dec 10, 2024 · Advisor changed firm · fact
  • Michael David Adams left Pruco Securities, Llc for Esi Financial Advisors (registered 2025-02-04)
    Dec 10, 2024 · Advisor changed firm · fact
  • Mauro Esteban Maich left Pruco Securities, Llc for Thrivent Investment Management Inc. (registered 2024-12-18)
    Dec 10, 2024 · Advisor changed firm · fact
  • Stephanie Lynn Miller left Pruco Securities, Llc for Bankers Life Advisory Services, Inc. (registered 2025-03-13)
    Dec 10, 2024 · Advisor changed firm · fact
  • Peter Casey Gayle left Pruco Securities, Llc for Strategic Wealth Investment Group, Llc (registered 2025-10-16)
    Dec 10, 2024 · Advisor changed firm · fact
  • Markus Frederick Bigbee left Pruco Securities, Llc for Thrivent Investment Management Inc. (registered 2025-07-24)
    Dec 10, 2024 · Advisor changed firm · fact
  • Brent Andrew Peddy left Pruco Securities, Llc for Forefront (registered 2025-03-03)
    Dec 10, 2024 · Advisor changed firm · fact
  • Kelly Marie Weis left Pruco Securities, Llc for Wealth Enhancement Advisory Services, Llc (registered 2025-07-31)
    Dec 10, 2024 · Advisor changed firm · fact
  • Calvin Allen Rowland left Pruco Securities, Llc for Highpoint Planning Partners (registered 2024-12-03)
    Dec 10, 2024 · Advisor changed firm · fact
  • Bradley G. Sofonia left Pruco Securities, Llc for Principal Securities, Inc. (registered 2024-12-03)
    Dec 10, 2024 · Advisor changed firm · fact
  • James Xiarhos left Pruco Securities, Llc for Lpl Enterprise, Llc (registered 2025-03-24)
    Dec 10, 2024 · Advisor changed firm · fact
  • Angela Marie Bundy left Pruco Securities, Llc for Esi Financial Advisors (registered 2026-01-09)
    Dec 10, 2024 · Advisor changed firm · fact
  • Kristen Patricia Skowronek left Pruco Securities, Llc for Park Avenue Securities Llc (registered 2025-07-18)
    Dec 10, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
Website
PRUDENTIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
973-802-6000reportedpublic record, Form ADV, May 19, 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
No RAUM reportedderiveda 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