Investment adviser · CRD 105676

PGIM, INC.

NEWARK, NJ, United States · Form ADV filed Mar 29, 2024

Regulatory AUM: $1.01T
Client accounts: 1,021
Employees: 1,705
Advisory professionals: 1,420

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
2023	$1,014,741,753,029	1,705	Mar 29, 2024

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	72	$323,871,499,852	31.9%
Investment companies	158	$240,904,310,848	23.7%
Pooled investment vehicles	240	$234,876,182,467	23.1%
Retirement plans	112	$92,421,828,394	9.1%
Sovereign wealth & foreign institutions	23	$43,381,371,716	4.3%
Banks & thrifts	6	$33,752,925,709	3.3%
Government entities	30	$22,152,998,900	2.2%
Corporations & businesses	9	$9,399,518,834	0.9%
Other clients	16	$8,922,036,761	0.9%
Other investment advisers	6	$5,059,079,548	0.5%

Filing source

Form ADV 1826732 · Mar 29, 2024 · Item 5.D

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2023.

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

138 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 112 CLO, LTDSecuritized Asset Fund$395MGross 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 MAPLES FIDUCIARY SERVICES (JERSEY) LIMITED ST HELIER, Other 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: 805-4728642210
Reported beneficial owners: 0
Minimum commitment: $250K

Form ADV 1826732 · Mar 29, 2024 · Schedule D 7.B.(1)

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2023.

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.

WINDHILL CLO 1, LTDSecuritized Asset Fund$395MGross asset value

Search Form D filings →

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

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

Marketer NATIXIS SECURITIES AMERICAS LLC NEW YORK, New York, 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: Yes

WILMINGTON TRUST, NATIONAL ASSOCATION
LEI 2549003YW3T6PERKZM60

NATIXIS SECURITIES AMERICAS LLC
CRD 1101 · SEC 8-719

Fund details & source

Fund ID: 805-8869427717
Reported beneficial owners: 0
Minimum commitment: $5M

Form ADV 1826732 · Mar 29, 2024 · Schedule D 7.B.(1)

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2023.

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 83 CLO, LTDSecuritized Asset Fund$394MGross asset value

Search Form D filings →

Fund administrator MAPLESFS LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all 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: 805-1693867077
Reported beneficial owners: 0
Minimum commitment: $250K

Form ADV 1826732 · Mar 29, 2024 · Schedule D 7.B.(1)

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2023.

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 80 CLO, LTD.Securitized Asset Fund$393MGross 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: 805-4772728482
Reported beneficial owners: 0
Minimum commitment: $250K

Form ADV 1826732 · Mar 29, 2024 · Schedule D 7.B.(1)

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2023.

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 93 CLO, LTDSecuritized Asset Fund$392MGross 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: 805-2358034836
Reported beneficial owners: 0
Minimum commitment: $250K

Form ADV 1826732 · Mar 29, 2024 · Schedule D 7.B.(1)

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2023.

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 76 CLO, LTD.Securitized Asset Fund$392MGross 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: 805-8889014628
Reported beneficial owners: 0
Minimum commitment: $250K

Form ADV 1826732 · Mar 29, 2024 · Schedule D 7.B.(1)

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2023.

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 57 CLO, LTD.Securitized Asset Fund$389MGross 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: 805-1873315851
Reported beneficial owners: 0
Minimum commitment: $250K

Form ADV 1826732 · Mar 29, 2024 · Schedule D 7.B.(1)

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2023.

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 Jan 29, 2024 · previous imported filing

Regulatory AUM$983,853,862,895 → $1,014,741,753,029
Client accounts874 → 1,021
Employees1,658 → 1,705

Filing source

Form ADV 1826732 · Mar 29, 2024 · Items 1 & 5

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2023.

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: $1.01T
Non-discretionary: $4.29B

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 1826732 · Mar 29, 2024 · Items 1 & 5

Reported by PGIM, INC. (CRD 105676).

Annual Updating Amendment for Registered Adviser · fiscal year 2023.

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.