Investment adviser · CRD 105676

PGIM, INC.

NEWARK, NJ, United States · Form ADV filed Mar 30, 2022

Regulatory AUM: $1.19T
Client accounts: 843
Employees: 1,571
Advisory professionals: 1,273

How this adviser has changed

Annual filings

Regulatory assets under management

Up to five fiscal years, using the latest annual update available at the selected filing date. Asset changes can reflect acquisitions, client flows, and valuations; they are not investment returns.

Annual adviser history and sources
Fiscal year	Regulatory AUM	Employees	Filed
2021	$1,191,531,750,594	1,571	Mar 30, 2022

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Insurance companies	46	$373,540,951,359	31.3%
Pooled investment vehicles	187	$292,984,880,458	24.6%
Investment companies	133	$284,190,251,928	23.9%
Retirement plans	120	$109,589,148,426	9.2%
Sovereign wealth & foreign institutions	24	$52,188,852,873	4.4%
Banks & thrifts	5	$37,909,465,772	3.2%
Government entities	34	$24,380,416,119	2.0%
Corporations & businesses	6	$10,912,114,290	0.9%
Other investment advisers	7	$4,640,133,252	0.4%
Other clients	Fewer than 5	$1,195,536,117	0.1%

Filing source

Form ADV 1620712 · Mar 30, 2022 · Item 5.D

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Private funds & service providers

130 detailed fund records

Largest reported gross asset value first; unreported values last. Gross asset value is fund-level disclosure, distinct from adviser AUM and Form D fundraising. Master and feeder funds may overlap.

DRYDEN 97 CLO, LTDSecuritized Asset Fund$114KGross asset value

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Fund administrator DEUTSCHE BANK TRUST COMPANY AMERICAS SANTA ANA, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →

Fund administrator HAWKSFORD TRUST COMPANY JERSEY LIMITED ST HELIER, Jersey Investor statements: No (provided to no investors) Related to adviser: No Other funds reporting this name →

Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS SANTA ANA, California, United States Related to adviser: No Other funds reporting this name →

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

DEUTSCHE BANK TRUST COMPANY AMERICAS
LEI 8EWQ2UQKS07AKK8ANH81

Fund details & source

Fund ID: 805-7438656978
Reported beneficial owners: 0
Minimum commitment: $250K

Form ADV 1620712 · Mar 30, 2022 · Schedule D 7.B.(1)

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

PLA RETAIL FUND I, LPHedge Fund · Master$96.7KGross asset value

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Auditor GRANT THORNTON MEXICO CITY, Mexico Other funds reporting this name →

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: No
Administrator other than the adviser: No
External marketing: No

GRANT THORNTON
PCAOB 1245

Fund details & source

Fund ID: 805-4889778228
Reported beneficial owners: 6
Minimum commitment: $25M
Form D file number: 021-104549
Form D file number: 021-104548
Form D file number: 021-104550

Form ADV 1620712 · Mar 30, 2022 · Schedule D 7.B.(1)

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

DRYDEN 104 CLO, LTDSecuritized Asset Fund$34.2KGross asset value

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Fund administrator MAPLESFS LIMITED GRAND CAYMAN, Cayman Islands Investor statements: No (provided to no investors) Related to adviser: No Other funds reporting this name →

Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS SANTA ANA, California, United States Related to adviser: No Other funds reporting this name →

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

DEUTSCHE BANK TRUST COMPANY AMERICAS
LEI 8EWQ2UQKS07AKK8ANH81

Fund details & source

Fund ID: 805-2404079939
Reported beneficial owners: 0
Minimum commitment: $250K

Form ADV 1620712 · Mar 30, 2022 · Schedule D 7.B.(1)

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

DRYDEN 102 CLO, LTDSecuritized Asset Fund$4.99KGross asset value

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Fund administrator WALKERS FIDUCIARY LIMITED GRAND CAYMAN, Cayman Islands Investor statements: No (provided to no investors) Related to adviser: No Other funds reporting this name →

Fund administrator WILMINGTON TRUST, NATIONAL ASSOCIATION WILMINGTON, Delaware, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →

Custodian WILMINGTON TRUST, NATIONAL ASSOCIATION WILMINGTON, Delaware, United States Related to adviser: No Other funds reporting this name →

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

WILMINGTON TRUST, NATIONAL ASSOCIATION
LEI 254900K52ZHF2PEQE649

Fund details & source

Fund ID: 805-9648814691
Reported beneficial owners: 0
Minimum commitment: $250K

Form ADV 1620712 · Mar 30, 2022 · Schedule D 7.B.(1)

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

DRYDEN 82 CLO, LTDSecuritized Asset Fund$0Gross asset value

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Fund administrator MAPLESFS LIMITED GRAND CAYMAN, Cayman Islands Investor statements: No (provided to no investors) Related to adviser: No Other funds reporting this name →

Fund administrator U.S. BANK NATIONAL ASSOCIATION CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →

Custodian U.S. BANK NATIONAL ASSOCIATIO CHICAGO, Illinois, United States Related to adviser: No Other funds reporting this name →

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

U.S. BANK NATIONAL ASSOCIATIO
LEI 5493001WC5CQQI9L9G80

Fund details & source

Fund ID: 805-8350909637
Reported beneficial owners: 0
Minimum commitment: $250K

Form ADV 1620712 · Mar 30, 2022 · Schedule D 7.B.(1)

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

PGIM HIGH YIELD BOND FUND OF THE PRUDENTIAL TRUST COMPANY INSTITUTIONAL BUSINESS TRUSTHedge Fund$0Gross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

PGIM High Yield Bond Fund of the Prudential Trust Co Institutional Business Trust

Auditor PRICEWATERHOUSECOOPERS LLP NEW YORK, New York, United States Other funds reporting this name →

Custodian STATE STREET BANK AND TRUST COMPANY KANSAS CITY, Missouri, United States Related to adviser: No Other funds reporting this name →

Marketer PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC NEWARK, New Jersey, United States Related to adviser: Yes Other funds reporting this name →

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: Yes

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
CRD 18353 · SEC 8-36540

Fund details & source

Fund ID: 805-5303911607
Reported beneficial owners: 0
Minimum commitment: $0
Form D file number: 021-267027

Form ADV 1620712 · Mar 30, 2022 · Schedule D 7.B.(1)

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

PLA RESIDENTIAL III FUND, LPHedge Fund · Master$0Gross asset value

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Auditor GRANT THORNTON MEXICO CITY, Mexico Other funds reporting this name →

Custodian DEPÓSITO CENTRAL DE VALORES, S.A. SANTIAGO CENTRO, Chile Related to adviser: No Other funds reporting this name →

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

GRANT THORNTON
PCAOB 1245

Fund details & source

Fund ID: 805-4918809850
Reported beneficial owners: 3
Minimum commitment: $25M
Form D file number: 021-109942
Form D file number: 021-109848
Form D file number: 021-109849

Form ADV 1620712 · Mar 30, 2022 · Schedule D 7.B.(1)

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Services & filing details

View a filing

Showing values from the selected filing. Latest observed filing does not establish current registration status.

What changed?

Since Feb 23, 2022 · previous imported filing

Regulatory AUM$1,152,137,172,504 → $1,191,531,750,594
Client accounts836 → 843
Employees1,374 → 1,571

Filing source

Form ADV 1620712 · Mar 30, 2022 · Items 1 & 5

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Management of assets

Discretionary: $1.18T
Non-discretionary: $12.5B

Reported services

Individual portfolio management · Investment company portfolio management · Pooled investment vehicle management · Business portfolio management · Selection of other advisers · Publication of newsletters · Educational seminars

Compensation

Percentage of assets · Fixed · Performance-based

Principal office

655 BROAD ST.
NEWARK, NJ, 07102, United States

CRD 105676

Filing source

Form ADV 1620712 · Mar 30, 2022 · Items 1 & 5

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.