Pgim, Inc
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Overview
Pgim, Inc is a financial advisor firm that has its headquarters in Newark, New Jersey. Pgim, Inc manages $1.1 trillion in assets under management throughout 887 client accounts, making it one of the largest financial advisory firms in the United States by assets under management (AUM). It has a very large group of 1,445 employees, of which 1,066 are financial advisors. Pgim, Inc is not a registered broker-dealer, signifying that the company cannot buy and sell securities for its accounts and those of its clients and instead must go through a broker-dealer firm to do so. Securities are tradable financial assets like bonds, options and equities.
Pgim, Inc administers 874 of the firm's accounts in a discretionary manner. Discretionary management means that transaction choices are made by an investment advisor without requiring the client's consent. The firm also manages 13 non-discretionary accounts with a total of $14.2 billion in AUM. The firm administers an average of $1.2 billion for each account. The average advisor at Pgim, Inc manages fewer than one client account, placing it among the most individualized firms in the country.
The company's main office is at 655 Broad St., Newark, New Jersey 7102. The company is permitted to provide services to investors throughout 51 U.S. states and territories.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Pgim, Inc by the Numbers

$1.1 trillion

1,445

887

$1.2 billion
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Products and Services
Pgim, Inc offers a number of financial services, which can consist of portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for institutional clients, pension consulting services, selection of other advisers, publication of newsletters, educational seminars and other services. The firm is involved in selling products or offering services other than investment advice to its customers. It is also affiliated with one or more other companies in the financial services industry, including with a broker-dealer or securities dealer, banking or thrift institution, trust company, insurance company or agency, real estate broker or dealer and commodity pool advisor.
Core Advisor Services
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Financial Planning Services
This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.
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Offered by 62% of firms
Portfolio Management
This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.
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Market Timing Services
This is the practice of attempting to make short-term profits on investments by buying low and selling high.
Other Services
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Offered by 23% of firms
Selection of Other Advisors
This is the firm's assistance with choosing other advisors to work with who may have different specialties.
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Offered by 4% of firms
Publication of Periodicals
This is the publication of various financial education materials.
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Offered by 10% of firms
Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Fee Structure
Financial advisory fees largely depend on which services the firm provides the client. However, fees billed by the firm can be comprised of the following fee types: asset-based, fixed, performance-based or other. Pgim, Inc does not participate in a wrap fee program, in which the firm offers a service bundle for a comprehensive fee.
Available
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Offered by 74% of firms
Percentage of Assets
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Offered by 17% of firms
Performance-based
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Offered by 40% of firms
Fixed
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Offered by 12% of firms
Other
Unavailable
Types of Clients
Pgim, Inc works with a broad range of clients. Pgim, Inc caters to banking institutions, investment companies, pooled investment vehicles, pension plans, state or municipal government entities, other investment advisers, insurance companies, sovereign wealth funds, corporations and other. Out of its 887 customers, Pgim, Inc's biggest client group is pooled investment vehicles. About 35% of the company's clients are represented by non-U.S. persons.
- High-Net-Worth Individuals* - 0%
- Other Individuals - 0%
- Corporations - 100%
- Charitable Organizations - 0%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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