Investment adviser · CRD 105676

PGIM, INC.

NEWARK, NJ, United States · Form ADV filed Mar 30, 2023

Regulatory AUM: $984B
Client accounts: 874
Employees: 1,658
Advisory professionals: 1,374

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
2022	$983,853,862,895	1,658	Mar 30, 2023

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	49	$293,074,760,292	29.8%
Pooled investment vehicles	205	$256,933,826,858	26.1%
Investment companies	141	$228,623,290,836	23.2%
Retirement plans	111	$88,139,436,444	9.0%
Sovereign wealth & foreign institutions	22	$41,247,721,561	4.2%
Banks & thrifts	7	$35,596,564,731	3.6%
Government entities	35	$22,026,145,328	2.2%
Corporations & businesses	8	$9,353,248,712	1.0%
Other clients	14	$5,258,429,277	0.5%
Other investment advisers	5	$3,600,438,856	0.4%

Filing source

Form ADV 1707608 · Mar 30, 2023 · Item 5.D

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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

140 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 47 SENIOR LOAN FUNDSecuritized Asset Fund$637MGross asset value

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Fund administrator OCORIAN 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 ASSOCIATION 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 ASSOCIATION
LEI 5493001WC5CQQI9L9G80

Fund details & source

Fund ID: 805-1725460587
Reported beneficial owners: 0
Minimum commitment: $250K

Form ADV 1707608 · Mar 30, 2023 · Schedule D 7.B.(1)

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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 FUNDS PLC - PGIM EMERGING MARKET HARD CURRENCY DEBT FUNDHedge Fund$633MGross asset value

Form D fundraising filings

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

PGIM Funds plc

Fund administrator STATE STREET FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →

Auditor PRICEWATERHOUSECOOPERS LLP DUBLIN, Ireland Other funds reporting this name →

Custodian STATE STREET CUSTODIAL SERVICES (IRELAND) LIMITED DUBLIN, Ireland Related to adviser: No Other funds reporting this name →

Marketer PGIM LIMITED LONDON, United Kingdom Related to adviser: Yes Other funds reporting this name →

Marketer PGIM SINGAPORE SINGAPORE, Singapore Related to adviser: Yes 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: Yes
External marketing: Yes

PRICEWATERHOUSECOOPERS LLP
PCAOB 1366

STATE STREET CUSTODIAL SERVICES (IRELAND) LIMITED
LEI 549300WXPZHMNQNPYL49

PGIM LIMITED
CRD 160005 · SEC 801-73882

PGIM SINGAPORE
CRD 313005

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

Fund details & source

Fund ID: 805-3498789240
Reported beneficial owners: 16
Minimum commitment: $5K
Form D file number: 021-280776

Form ADV 1707608 · Mar 30, 2023 · Schedule D 7.B.(1)

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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.

FICG-PG-I FUND, L.P.Other Private Fund$623MGross asset value

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Fund administrator STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →

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

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

Provider details

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

PRICEWATERHOUSE COOPERS LLP
PCAOB 238

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

Fund details & source

Fund ID: 805-2455032311
Reported beneficial owners: 2
Minimum commitment: $0

Form ADV 1707608 · Mar 30, 2023 · Schedule D 7.B.(1)

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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 36 SENIOR LOAN FUNDSecuritized Asset Fund$619MGross asset value

Search Form D filings →

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 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: 805-9476404010
Reported beneficial owners: 0
Minimum commitment: $250K

Form ADV 1707608 · Mar 30, 2023 · Schedule D 7.B.(1)

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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 43 SENIOR LOAN FUNDSecuritized Asset Fund$617MGross asset value

Search Form D filings →

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 ASSOCIATION 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 ASSOCIATION
LEI 5493001WC5CQQI9L9G80

Fund details & source

Fund ID: 805-9075297234
Reported beneficial owners: 0
Minimum commitment: $250K

Form ADV 1707608 · Mar 30, 2023 · Schedule D 7.B.(1)

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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 45 SENIOR LOAN FUNDSecuritized Asset Fund$608MGross asset value

Search Form D filings →

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: 805-8480646385
Reported beneficial owners: 0
Minimum commitment: $250K

Form ADV 1707608 · Mar 30, 2023 · Schedule D 7.B.(1)

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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 86 CLO, LTDSecuritized Asset Fund$593MGross asset value

Search Form D filings →

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 ASSOCIATION 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 ASSOCIATION
LEI 5493001WC5CQQI9L9G80

Fund details & source

Fund ID: 805-1804030170
Reported beneficial owners: 0
Minimum commitment: $250K

Form ADV 1707608 · Mar 30, 2023 · Schedule D 7.B.(1)

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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 Nov 22, 2022 · previous imported filing

Regulatory AUM$1,191,531,750,594 → $983,853,862,895
Client accounts843 → 874
Employees1,571 → 1,658

Filing source

Form ADV 1707608 · Mar 30, 2023 · Items 1 & 5

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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: $983B
Non-discretionary: $743M

Reported services

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 1707608 · Mar 30, 2023 · Items 1 & 5

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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.