PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 5:09 AM ET

Sponsor Check › Sponsor group

P

Prisa

One sponsor team, 3 deal companies · Newark, NJ

Grouped because: 2 shared management entities, similar issuer names (3) (automatic match from the filings) · not the same sponsor?

3deal companies
$2.42Breported sold
41investors
15Form D filings
2009–2026active
0new, last 12 mo

Data last updated Oct 23, 2026, 5:45 PM ET · Latest filing in this group Mar 27, 2026 · Courts (RECAP) last checked: Oct 24, 2026, 2:17 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Prisa is a sponsor group of 3 issuers that PartnerFacts links to one sponsor (shared management entity, similar issuer names; automatic match from the filings), filing 15 Form D filings between Mar 2009 and Mar 2026.

What this means One team, 3 deal companies, about 17 years of track record in SEC filings. We link the companies because the same people or address appear on their forms — tap "Request a correction" if that is wrong.

Combined reported sold: $2.42B to 41 investors (latest filing per issuer). Industries as reported: Pooled Investment Fund (3). Issuers are based in NJ (3).

What this means $2.42B raised across the group, about $59.1M per investor. Amounts come from each company's latest Form D; they are what the sponsor reported, not audited figures.

Principal people: PRISA III Fund GP, LLC (3 issuers, promoter, entity), PGIM, Inc. (2 issuers, promoter, entity), General Partner PRISA III Fund GP, LLC (1 issuer, promoter, entity), Manager PGIM, Inc. (1 issuer, promoter, entity) and Soultana Reigle (1 issuer, executive officer).

What this means The person on the most companies is usually the one running the show; their page lists every deal.

Activity: 0 new offerings in the last 12 months; latest filing Mar 27, 2026.

What this means No new raise filed in the past year.

Adviser registration (Form ADV) on record: PGIM, INC.; PGIM LIMITED.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA), property records (NYC, FL, IL and TX counties) — none found.

What this means Nothing turned up where we looked (4 sources). That does not prove there is nothing — it means none was found in those sources on that date.

We compared 15 public filings for Prisa and found 13 differences, 2 worth asking the sponsor about: PGIM, Inc. is no longer listed on the Sep 28, 2018 amendment; Soultana Reigle is no longer listed on the Mar 10, 2010 amendment; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for Prisa has not run yet — it is joining a line of 7,986 names; searches run around the clock at the hosts' allowed rate. Searched so far: 27 names.

Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:17 AM ET.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: AZ, CA, DE, TX, WA (crawled Oct 23, 2026)

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Prisa..

State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states are not covered.

3. Bankruptcies

None found in sources searched — federal bankruptcy courts (CourtListener / RECAP), checked Oct 24, 2026

What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:17 AM ET.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

No comparisons published

What is compared

No public statement by this sponsor group has been collected yet, so there is nothing to compare. Sources compared: the sponsor's own website (known from the issuer's own filings — Form C issuer website, EDGAR company profile — an approved profile claim or Form ADV Item 1.I of its matched adviser) · SEC Form D · SEC Form ADV (IAPD) · Internet Archive · No website is on file for this sponsor group yet.

13 differences found between the filings for Prisa — 2 worth asking about (compared 15 filings on Oct 24, 2026)

Worth asking · Sep 29, 2017 – Sep 28, 2018

PGIM, Inc. is no longer listed on the Sep 28, 2018 amendment — PRISA III Fund LP

PGIM, Inc. appears on the Sep 29, 2017 Form D (promoter) but not on the Sep 28, 2018 Form D/A for the same offering.

What this means People leave, and the issuer must list only current officers, directors and promoters. It is still worth asking why this person left and who replaced them.

Sources
Worth asking · Mar 11, 2009 – Mar 10, 2010

Soultana Reigle is no longer listed on the Mar 10, 2010 amendment — PRISA III Fund LP

Soultana Reigle appears on the Mar 11, 2009 Form D/A (executive officer) but not on the Mar 10, 2010 Form D/A for the same offering.

What this means People leave, and the issuer must list only current officers, directors and promoters. It is still worth asking why this person left and who replaced them.

Sources
Note · Sep 9, 2025 – Sep 26, 2025

Form D filed 17 days after the first sale — PRISA III Feeder-B LP

The filing says the first sale was Sep 9, 2025. The Form D was filed Sep 26, 2025 — 17 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 2 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Sources
Note · Oct 1, 2017 – Sep 27, 2019

No amendment in the last 12 months on an offering that may still be open — PRISA III Fund LP (latest filing Sep 27, 2019)

The latest filing for this offering is dated Sep 27, 2019 (first sale Oct 1, 2017). It reports $701,840,000 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Sources
Note · Jun 20, 2012 – Jul 2, 2012

No amendment in the last 12 months on an offering that may still be open — PRISA III Fund LP (latest filing Jul 2, 2012)

The latest filing for this offering is dated Jul 2, 2012 (first sale Jun 20, 2012). It reports $25,000,000 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Sources
Note · Oct 12, 2007 – Mar 10, 2010

No amendment in the last 12 months on an offering that may still be open — PRISA III Fund LP (latest filing Mar 10, 2010)

The latest filing for this offering is dated Mar 10, 2010 (first sale Oct 12, 2007). It reports $1,543,177,732 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Sources
Note · Sep 29, 2017 – Dec 21, 2022

PGIM, Inc. is written 2 different ways on the filings

listed as "Pgim," on the Sep 29, 2017 filing, and "PGIM, Inc." on 7 filings (from Dec 21, 2022).

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Sources
Note · Mar 11, 2009 – Sep 29, 2017

Industry group changed between filings — PRISA III Fund LP

"Other Real Estate" (Mar 11, 2009 to Jul 2, 2012); then "Pooled Investment Fund" (Sep 29, 2017 to Mar 27, 2026).

What this means The issuer described its business differently on different forms. Often it is just a different box ticked; sometimes the deal itself changed. Ask which business your money is in.

Sources
Note · Dec 21, 2022 – Mar 28, 2023

Address moved from Madison, NJ to Newark, NJ — PRISA III Fund LP

The people listed on the Dec 21, 2022 filing give Madison, NJ; on the Mar 28, 2023 filing they give Newark, NJ. The address now on file (C/O Prudential Real Estate Investors, 655 Broad Street, 14th Floor, Newark, NJ) is a registered-agent or shared-office address used by 11 issuers.

What this means A registered agent's address is a mailbox, not where the team works. Ask where the business actually operates.

Sources
Note · Mar 10, 2010 – Jul 2, 2012

Address moved from Parsippany, NJ to Madison, NJ — PRISA III Fund LP

The people listed on the Mar 10, 2010 filing give Parsippany, NJ; on the Jul 2, 2012 filing they give Madison, NJ. The address now on file (C/O Prudential Real Estate Investors, 655 Broad Street, 14th Floor, Newark, NJ) is a registered-agent or shared-office address used by 11 issuers.

What this means A registered agent's address is a mailbox, not where the team works. Ask where the business actually operates.

Sources
Note · Mar 27, 2026

Address on file is a registered agent / shared office — PRISA III Fund LP

The latest filing lists C/O Prudential Real Estate Investors, 655 Broad Street, 14th Floor, Newark, NJ. That address is used by 11 issuers in our index (11 issuers in 7 unrelated clusters).

What this means Many small companies use a registered agent's address — it is legal and common. It means the Form D address is not where the team works. Ask where the business operates and who runs it day to day.

Sources
Note · Jan 15, 2026

Address on file is a registered agent / shared office — PRISA III Feeder-B LP

The latest filing lists C/O Prudential Real Estate Investors, 655 Broad Street, 14th Floor, Newark, NJ. That address is used by 11 issuers in our index (11 issuers in 7 unrelated clusters).

What this means Many small companies use a registered agent's address — it is legal and common. It means the Form D address is not where the team works. Ask where the business operates and who runs it day to day.

Sources
Note · Jan 15, 2026

Address on file is a registered agent / shared office — PGIM PRISA III - Sunshine Housing Sidecar, LP

The latest filing lists C/O Prudential Real Estate Investors, 655 Broad Street, 14th Floor, Newark, NJ. That address is used by 11 issuers in our index (11 issuers in 7 unrelated clusters).

What this means Many small companies use a registered agent's address — it is legal and common. It means the Form D address is not where the team works. Ask where the business operates and who runs it day to day.

Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

1 of 6 offerings reports sales commissions totalling $769,970; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Mar 27, 2026 D/A
PRISA III Fund LP
File 021-468312
$0 (est.)$0$0Prudential Investment Management Services LLC BrokerCheck CRD 18353 ↗EDGAR ↗
Jan 15, 2026 D/A
PGIM PRISA III - Sunshine Housing Sidecar, LP
File 021-543927
$0 (est.)$0 (est.)$0 (est.)None listed on this filingEDGAR ↗
Jan 15, 2026 D/A
PRISA III Feeder-B LP
File 021-558878
$0 (est.)$0 (est.)$0 (est.)None listed on this filingEDGAR ↗
Sep 27, 2019 D/A
PRISA III Fund LP
File 021-295660
$0 (est.)$0$0Prudential Investment Management Services LLC BrokerCheck CRD 18353 ↗EDGAR ↗
Jul 2, 2012 D
PRISA III Fund LP
File 021-180624
$0$0$0Prudential Investment Management Services LLC BrokerCheck CRD 18353 ↗EDGAR ↗
Mar 10, 2010 D/A
PRISA III Fund LP
File 021-110535
$769,970 (est.)$0$0Prudential Investment Management Services LLC BrokerCheck CRD 18353 ↗EDGAR ↗
How this is counted

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across all 3 issuers in this group — every filing in our index, latest filing per offering (SEC file number).

Property records 0 documents · 0 ownership records · last checked Oct 23, 2026, 8:59 PM ET · NYC and Cook County lookup still to run

0 recorded documents and 0 ownership records matched to Prisa in the sources searched.

Not found in sources searched as of Oct 23, 2026, 8:59 PM ET: Hillsborough County FL Clerk of Court Official Records daily index (publicrec.hillsclerk.com D/P/M files), 2 daily files (Oct 14, 2026 to Oct 15, 2026) — loaded Oct 23, 2026, 8:59 PM ET; Florida DOR NAL roll (Hillsborough 39) roll year 2026 — loaded Oct 23, 2026, 8:54 PM ET; Florida DOR NAL roll (Dade 23) roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET; Harris County Appraisal District real_acct.txt roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET; Dallas Central Appraisal District ACCOUNT_INFO.CSV roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET. Still to be looked up for this group: NYC ACRIS via NYC Open Data (Real Property Parties 636b-3b5g, Master bnx9-e6tj, Legals 8h5j-fqxa, Document Control Codes 7isb-wh4c) · NYC PLUTO ownership via NYC Open Data (64uk-42ks) · Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp). Records in other counties, and recorder indexes we do not yet cover, were not searched.

Property records coverage: New York City (ACRIS recorded documents and PLUTO ownership, looked up per issuer when its page is viewed; re-checked when the page is viewed again more than 30 days after the last check); Hillsborough County FL (recorded documents from Oct 14, 2026 forward; ownership from FL DOR roll 2026); Cook County IL (assessor ownership and deed/sale records, looked up per issuer when its page is viewed); Harris County TX and Dallas County TX (assessor ownership rolls only, 2026 roll; no deed, mortgage or sale records); Miami-Dade County FL (ownership from FL DOR roll only; Clerk recorded documents not covered). Recorder indexes for TX, AZ, IL and WA counties, mortgages and liens outside NYC and FL, lis pendens and foreclosure notices everywhere, Miami-Dade County FL recorded documents, Maricopa County AZ, King County WA, Salt Lake County UT, and all other counties are not covered — not searched. Last refresh by source: Hillsborough County FL Clerk daily index Oct 23, 2026, 8:59 PM ET; Dallas Central Appraisal District ACCOUNT_INFO.CSV Oct 23, 2026, 8:58 PM ET; Harris County Appraisal District real_acct.txt Oct 23, 2026, 8:58 PM ET; Florida DOR NAL roll (Dade 23) Oct 23, 2026, 8:58 PM ET; Florida DOR NAL roll (Hillsborough 39) Oct 23, 2026, 8:54 PM ET. NYC and Cook County are looked up per issuer when its page is viewed; the most recent such lookup on this site finished Oct 24, 2026, 3:30 AM ET. Parties are named as the recorder's index names them (role suffixes as recorded); no address, account number or trust date is shown for an individual, and individual owners of record (home ownership) are not matched or shown. Items still in human review are not shown.

Issuers in this group

Why each issuer is here is stated in the "Linked by" column. Low-confidence links are never shown — they wait for human review.

SourceIssuerLinked byLocationIndustryFilingsSold (max)InvestorsMin. investment (latest filing)Active
EDGAR ↗PF PRISA III Fund LPshared management entity, similar issuer namesNEWARK, NJPooled Investment Fund11$2,020,950,000
offering Indefinite · similar: $155,000–$5,250,000
37
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2009–2026
EDGAR ↗PP PGIM PRISA III - Sunshine Housing Sidecar, LPshared management entity, similar issuer namesNEWARK, NJPooled Investment Fund2$100,250,000
offering Indefinite · similar: $155,000–$5,250,000
2
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2025–2026
EDGAR ↗PF PRISA III Feeder-B LPshared management entity, similar issuer namesNEWARK, NJPooled Investment Fund2$300,500,000
offering Indefinite · similar: $155,000–$5,250,000
2
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2025–2026

"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Timeline of offerings

SourceFiledIssuerFormIndustryOfferedSold
EDGAR ↗Mar 27, 2026PRISA III Fund LPD/APooled Investment FundIndefinite$2,020,950,000
EDGAR ↗Jan 15, 2026PRISA III Feeder-B LPD/APooled Investment FundIndefinite$300,500,000
EDGAR ↗Jan 15, 2026PGIM PRISA III - Sunshine Housing Sidecar, LPD/APooled Investment FundIndefinite$100,250,000
EDGAR ↗Sep 26, 2025PRISA III Feeder-B LPDPooled Investment FundIndefinite$300,500,000
EDGAR ↗Apr 17, 2025PGIM PRISA III - Sunshine Housing Sidecar, LPDPooled Investment FundIndefinite$0
EDGAR ↗Mar 27, 2025PRISA III Fund LPD/APooled Investment FundIndefinite$1,021,000,000
EDGAR ↗Mar 29, 2024PRISA III Fund LPD/APooled Investment FundIndefinite$646,000,000
EDGAR ↗Mar 28, 2023PRISA III Fund LPD/APooled Investment FundIndefinite$251,000,000
EDGAR ↗Dec 21, 2022PRISA III Fund LPDPooled Investment FundIndefinite$0
EDGAR ↗Sep 27, 2019PRISA III Fund LPD/APooled Investment FundIndefinite$701,840,000
EDGAR ↗Sep 28, 2018PRISA III Fund LPD/APooled Investment FundIndefinite$182,500,000
EDGAR ↗Sep 29, 2017PRISA III Fund LPDPooled Investment FundIndefinite$0
EDGAR ↗Jul 2, 2012PRISA III Fund LPDOther Real EstateIndefinite$25,000,000
EDGAR ↗Mar 10, 2010PRISA III Fund LPD/AOther Real EstateIndefinite$1,543,177,732
EDGAR ↗Mar 11, 2009PRISA III Fund LPD/AOther Real EstateIndefinite$1,541,677,731

Activity: 0 new offerings in the last 12 months across all issuers in this group (new offering = a Form D that is not an amendment, D/A) · most recent filing Mar 27, 2026. Industry history, as reported on each offering's latest filing: Previous offerings: Other Real Estate (2009–2012). Latest offering: Pooled Investment Fund (2017–2025; most recent Sep 26, 2025).

People across the group

NameRolesIssuers hereFirst → last listed
PF PRISA III Fund GP, LLC entityPromoter3Dec 21, 2022 → Mar 27, 2026
P PGIM, Inc. entityPromoter2Sep 29, 2017 → Mar 27, 2026
GP General Partner PRISA III Fund GP, LLC entityPromoter1Mar 10, 2010 → Sep 27, 2019
MP Manager PGIM, Inc. entityPromoter1Sep 28, 2018 → Sep 27, 2019
SR Soultana ReigleExecutive Officer1Mar 11, 2009 → Mar 11, 2009

Adviser registration (Form ADV)

PGIM, INC. — SEC-registered investment adviser · SEC registration status as reported: “Approved” since Dec 7, 1984 · SEC file 801-22808 · Main office: NEWARK, NJ · IAPD record ↗ · Form ADV filing (PDF) ↗

Regulatory assets under management: $1,131,638,605,327 as reported on Form ADV filed Apr 28, 2026 (Item 5.F(2)(c)) · 938 accounts (Item 5.F(2)(f))

Websites listed on Form ADV (Item 1.I): www.pgim.com ↗

Item 11 disclosure questions as answered on Form ADV filed Apr 28, 2026: 0 of 24 answered “Yes”
  • No — Form ADV Item 11 asks: “Do any of the events below involve you or any of your supervised persons?”
  • No — Form ADV Item 11A(1) asks: “A. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony?”
  • No — Form ADV Item 11A(2) asks: “A. (2) been charged with any felony?”
  • No — Form ADV Item 11B(1) asks: “B. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?”
  • No — Form ADV Item 11B(2) asks: “B. (2) been charged with a misdemeanor listed in Item 11.B(1)?”
  • No — Form ADV Item 11C(1) asks: “C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
  • No — Form ADV Item 11C(2) asks: “C. (2) found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?”
  • No — Form ADV Item 11C(3) asks: “C. (3) found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11C(4) asks: “C. (4) entered an order against you or any advisory affiliate in connection with investment-related activity?”
  • No — Form ADV Item 11C(5) asks: “C. (5) imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity?”
  • No — Form ADV Item 11D(1) asks: “D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: (1) ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical?”
  • No — Form ADV Item 11D(2) asks: “D. (2) ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?”
  • No — Form ADV Item 11D(3) asks: “D. (3) ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11D(4) asks: “D. (4) in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?”
  • No — Form ADV Item 11D(5) asks: “D. (5) ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity?”
  • No — Form ADV Item 11E(1) asks: “E. Has any self-regulatory organization or commodities exchange ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
  • No — Form ADV Item 11E(2) asks: “E. (2) found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?”
  • No — Form ADV Item 11E(3) asks: “E. (3) found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11E(4) asks: “E. (4) disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities?”
  • No — Form ADV Item 11F asks: “F. Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended?”
  • No — Form ADV Item 11G asks: “G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E.?”
  • No — Form ADV Item 11H(1)(a) asks: “H. (1) Has any domestic or foreign court: (a) in the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?”
  • No — Form ADV Item 11H(1)(b) asks: “H. (1)(b) ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations?”
  • No — Form ADV Item 11H(1)(c) asks: “H. (1)(c) ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority?”
  • No — Form ADV Item 11H(2) asks: “H. (2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H(1)?”

Answers as filed by the adviser on Form ADV Part 1A, Item 11; question text quoted from the form. Details of each “Yes” are in the Disclosure Reporting Pages of the Form ADV (PDF) ↗.

Matched on management entity listed on Form D = adviser name, same state (NJ) · Form ADV data: SEC Investment Adviser Information Report (SEC-registered advisers), file dated 2026-10-02, loaded Oct 23, 2026, 8:39 PM ET · IAPD record last checked Oct 23, 2026, 10:54 PM ET

PGIM LIMITED — SEC-registered investment adviser · SEC registration status as reported: “Approved” since Mar 30, 2012 · SEC file 801-73882 · Main office: LONDON · IAPD record ↗ · Form ADV filing (PDF) ↗

Regulatory assets under management: $76,451,725,569 as reported on Form ADV filed Aug 25, 2026 (Item 5.F(2)(c)) · 276 accounts (Item 5.F(2)(f))

Websites listed on Form ADV (Item 1.I): www.linkedin.com/company/PGIM-Investments ↗

Item 11 disclosure questions as answered on Form ADV filed Aug 25, 2026: 0 of 24 answered “Yes”
  • No — Form ADV Item 11 asks: “Do any of the events below involve you or any of your supervised persons?”
  • No — Form ADV Item 11A(1) asks: “A. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony?”
  • No — Form ADV Item 11A(2) asks: “A. (2) been charged with any felony?”
  • No — Form ADV Item 11B(1) asks: “B. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?”
  • No — Form ADV Item 11B(2) asks: “B. (2) been charged with a misdemeanor listed in Item 11.B(1)?”
  • No — Form ADV Item 11C(1) asks: “C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
  • No — Form ADV Item 11C(2) asks: “C. (2) found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?”
  • No — Form ADV Item 11C(3) asks: “C. (3) found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11C(4) asks: “C. (4) entered an order against you or any advisory affiliate in connection with investment-related activity?”
  • No — Form ADV Item 11C(5) asks: “C. (5) imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity?”
  • No — Form ADV Item 11D(1) asks: “D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: (1) ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical?”
  • No — Form ADV Item 11D(2) asks: “D. (2) ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?”
  • No — Form ADV Item 11D(3) asks: “D. (3) ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11D(4) asks: “D. (4) in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?”
  • No — Form ADV Item 11D(5) asks: “D. (5) ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity?”
  • No — Form ADV Item 11E(1) asks: “E. Has any self-regulatory organization or commodities exchange ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
  • No — Form ADV Item 11E(2) asks: “E. (2) found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?”
  • No — Form ADV Item 11E(3) asks: “E. (3) found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11E(4) asks: “E. (4) disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities?”
  • No — Form ADV Item 11F asks: “F. Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended?”
  • No — Form ADV Item 11G asks: “G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E.?”
  • No — Form ADV Item 11H(1)(a) asks: “H. (1) Has any domestic or foreign court: (a) in the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?”
  • No — Form ADV Item 11H(1)(b) asks: “H. (1)(b) ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations?”
  • No — Form ADV Item 11H(1)(c) asks: “H. (1)(c) ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority?”
  • No — Form ADV Item 11H(2) asks: “H. (2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H(1)?”

Answers as filed by the adviser on Form ADV Part 1A, Item 11; question text quoted from the form. Details of each “Yes” are in the Disclosure Reporting Pages of the Form ADV (PDF) ↗.

Matched on management entity listed on Form D = adviser name, different legal form as filed (Ltd vs Corp), no state to compare · Form ADV data: SEC Investment Adviser Information Report (SEC-registered advisers), file dated 2026-10-02, loaded Oct 23, 2026, 8:39 PM ET · IAPD record last checked Oct 23, 2026, 8:36 PM ET

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