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

The Prudential Insurance Company Of America

Former SEC-registered adviserNewark, New JerseyCRD 680SEC 801-12484IAPD
Latest filing Jun 13, 2016
First filing on the tape Mar 28, 2012 · 20 filings
RAUM
$251M
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
13,302
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$251M as of Mar 30, 2016
Mar 28, 2012$1.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 28, 20120 then
Employees (5.A)13,302 as of Mar 30, 2016
Mar 28, 20139,145 then
Private funds: no history
RAUM -0.6% over the last fiscal year-45% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 13, 2016; 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
$251MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
-0.6%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Duane Lee Augsburger · Senior Vice President & Chief Compliance Officercontrol
        since 11/2006 · owns less than 5%
      • Jeremiah Thomas Baltimore · Directorcontrol
        since 10/2008 · owns less than 5%
      • Fran Gilbert Casellas · Directorcontrol
        since 04/1998 · owns less than 5%
      • Gilbert James Cullen · Directorcontrol
        since 04/1994 · owns less than 5%
      • Michael Robert Falzon · Executive Vice President & Chief Financial Officercontrol
        since 03/2013 · owns less than 5%
      • Brown Mark Grier · Vice Chairman & Directorcontrol
        since 06/2007 · owns less than 5%
      • Patrick Timothy Harris · Executive Vice President & General Counselcontrol
        since 10/2015 · owns less than 5%
      • Martina Hund-Mejean · Directorcontrol
        since 10/2010 · owns less than 5%
      • John Karl Krapek · Directorcontrol
        since 01/2004 · owns less than 5%
      • Rupert Peter Lighte · Directorcontrol
        since 03/2016 · owns less than 5%
      • George Paz · Directorcontrol
        since 03/2016 · owns less than 5%
      • Sandra Pianalto · Directorcontrol
        since 07/2015 · owns less than 5%
      • Christine Poon · Directorcontrol
        since 09/2006 · owns less than 5%
      • Allen Douglas Scovanner · Directorcontrol
        since 11/2013 · owns less than 5%
      • Robert John Strangfeld · Chairman, President, Chief Executive Officer & Directorcontrol
        since 01/2008 · owns less than 5%
      • Antonio Michael Todman · Directorcontrol
        since 03/2016 · owns less than 5%
      Entity owners
      • Prudential Holdings, LLC · Parent
        direct · owns 75% or more
      • Prudential Financial, Inc. · Sole Member
        indirect · owns 75% or more of Prudential Holdings, LLC · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list The Prudential Insurance Company Of America as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Newark, NJ
      What changed
      consecutive filings, newest first
      • Employees · 12,599 to 13,302
        Mar 9, 2016 to Mar 30, 2016
      • Discretionary RAUM · $253M to $251M
        Mar 9, 2016 to Mar 30, 2016
      • RAUM · $253M to $251M
        Mar 9, 2016 to Mar 30, 2016
      • Accounts · 2 to 1
        Aug 5, 2014 to Mar 27, 2015
      • Employees · 12,140 to 12,599
        Aug 5, 2014 to Mar 27, 2015
      • Discretionary RAUM · $773M to $253M
        Aug 5, 2014 to Mar 27, 2015
      • RAUM · $773M to $253M
        Aug 5, 2014 to Mar 27, 2015
      • Accounts · 3 to 2
        Nov 12, 2013 to Mar 31, 2014
      • Advisory employees · 2 to 1
        Nov 12, 2013 to Mar 31, 2014
      • BD registered reps · 2 to 1
        Nov 12, 2013 to Mar 31, 2014
      • Employees · 9,145 to 12,140
        Nov 12, 2013 to Mar 31, 2014
      • Discretionary RAUM · $1.5B to $773M
        Nov 12, 2013 to Mar 31, 2014
      • RAUM · $1.5B to $773M
        Nov 12, 2013 to Mar 31, 2014
      • Advisory employees · 9 to 2
        Jan 24, 2013 to Mar 28, 2013
      • BD registered reps · 8 to 2
        Jan 24, 2013 to Mar 28, 2013
      • Employees · 8,450 to 9,145
        Jan 24, 2013 to Mar 28, 2013
      • Discretionary RAUM · $1.5B to $1.5B
        Jan 24, 2013 to Mar 28, 2013
      • RAUM · $1.5B to $1.5B
        Jan 24, 2013 to Mar 28, 2013
      • Advisory employees · unset to 9.0
        Mar 28, 2012 to Jan 24, 2013
      • BD registered reps · unset to 8.0
        Mar 28, 2012 to Jan 24, 2013
      • Employees · unset to 8450.0
        Mar 28, 2012 to Jan 24, 2013
      Signals
      No event on the tape.
      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