Pgim, Inc.
Registered investment adviser · Newark, NJ · CRD #105676
Form ADV data as of 2026-09-01Regulatory assets
$1.13 trillion
Total accounts
938
Employees
1,990
Disclosure events
0
Firm details
- Website: https://www.pgim.com
- Telephone: 973-367-6335
- SEC file number: 801-22808
- Most recent Form ADV filing: 2026-04-28
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $1.13 trillion |
| Non-discretionary regulatory assets under management | $6.09 billion |
| Total regulatory assets under management | $1.13 trillion |
| Discretionary accounts | 921 |
| Non-discretionary accounts | 17 |
| Total accounts | 938 |
| Regulatory assets under management attributable to non-U.S. persons | $243.17 billion |
People
| Total employees (excluding clerical) | 1,990 |
| Employees performing investment advisory functions (including research) | 1,350 |
| Employees who are registered representatives of a broker-dealer | 145 |
| Employees registered as investment adviser representatives with a state | 0 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 8 |
| Firms or persons who solicit advisory clients on the firm's behalf | 1 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $102.89 billion |
| Clients for whom the firm has custody | 73 |
| A related person has custody of client cash or bank accounts | Yes |
| A related person has custody of client securities | Yes |
| Client funds and securities held in a related person's custody | $60.65 billion |
| Clients for whom a related person has custody | 5 |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 10 |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys securities from or sells securities to advisory clients (principal transactions)
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another proprietary interest
- Recommends securities for which it serves as underwriter or general partner
- Recommends securities in which it has another sales interest
- Recommends brokers or dealers to clients
- Receives soft dollar benefits
- Compensates a non-employee for client referrals
- Provides employee compensation specifically for obtaining clients
- Receives compensation from others for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| High net worth individuals | Not reported | $870.2 million |
| Banking or thrift institutions | 6 | $27.20 billion |
| Investment companies | 90 | $215.50 billion |
| Pooled investment vehicles (other than investment companies and BDCs) | 255 | $274.44 billion |
| Pension and profit sharing plans (not the participants or government plans) | 111 | $122.40 billion |
| Charitable organizations | Not reported | $647.8 million |
| State or municipal government entities (including government pension plans) | 35 | $26.71 billion |
| Other investment advisers | 7 | $5.09 billion |
| Insurance companies | 55 | $383.28 billion |
| Sovereign wealth funds and foreign official institutions | 22 | $58.18 billion |
| Corporations or other businesses not listed above | 11 | $10.79 billion |
| Other | 19 | $6.54 billion |