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PINEBRIDGE INVESTMENTS LLC

NEW YORK, NY · CRD 285211 · IAPD ↗ · (646) 857-8000

$76.73BRegulatory AUM
122Advisory reps
239Employees
0Clients
n/aPlanning clients
48Private funds
3States
6Disclosures
wealthSegment
ApprovedSEC status

Filing changes

77
April 2026 — PINEBRIDGE INVESTMENTS LLC grew from 115 to 122 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
47
February 2026 — PINEBRIDGE INVESTMENTS LLC notice-filed in PA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
February 2026 — PINEBRIDGE INVESTMENTS LLC's Item 11 disclosure-reporting entries rose by 6 (0 -> 6).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
February 2026 — PINEBRIDGE INVESTMENTS LLC added office(s): 1 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
60
February 2026 — PINEBRIDGE GALAXY LLC is now doing business as PINEBRIDGE INVESTMENTS LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
70
February 2026 — PINEBRIDGE INVESTMENTS LLC now reports custody of client assets ($7.42B).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
75
February 2026 — PINEBRIDGE INVESTMENTS LLC reported RAUM up 5956% ($1.17B -> $71.09B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
85
February 2026 — PINEBRIDGE INVESTMENTS LLC grew from 5 to 115 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
35
April 2025 — PINEBRIDGE GALAXY LLC reported RAUM down 44% ($2.08B -> $1.17B).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.