{
  "crd_number": 108897,
  "slug": "ast-investment-services-inc-shelton-ct-108897",
  "primary_business_name": "AST INVESTMENT SERVICES, INC.",
  "legal_name": "AST INVESTMENT SERVICES, INC.",
  "dbas": [],
  "city": "Shelton",
  "state": "CT",
  "country": "United States",
  "cbsa_code": "47930",
  "metro": {
    "cbsa_code": "47930",
    "common_name": "Waterbury",
    "msa_name": "Waterbury-Shelton, CT",
    "path": "/advisors/ct/waterbury"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1992-01-10",
  "years_registered": 34,
  "period": "2026-10-01",
  "filing_date": "2026-09-25",
  "carried_forward": false,
  "raum_total": 91470712627.0,
  "raum_discretionary": 91470712627.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 42,
  "advisory_employees": 9,
  "client_count_bucket": null,
  "clients_by_type": {
    "charitable": {
      "raum": null,
      "count": 0
    },
    "individuals": {
      "raum": null,
      "count": 0
    },
    "banking_thrift": {
      "raum": null,
      "count": 0
    },
    "state_municipal": {
      "raum": null,
      "count": 0
    },
    "insurance_companies": {
      "raum": null,
      "count": 0
    },
    "investment_companies": {
      "raum": 91470712627.0,
      "count": 1
    },
    "pension_profit_sharing": {
      "raum": null,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": null,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": null,
      "count": 0
    },
    "pooled_investment_vehicles": {
      "raum": null,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": null,
      "count": 0
    },
    "business_development_companies": {
      "raum": null,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": null,
      "count": 0
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_investment_companies",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 7,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://facebook.com/prudential",
    "https://instagram.com/prudential",
    "https://linkedin.com/company/prudential-financial",
    "https://prudential.com",
    "https://prudential.com/personal/annuities",
    "https://prudential.com/personal/annuities/annuity-prospectuses",
    "https://x.com/PRUDENTIAL",
    "https://youtube.com/USER/PRUDENTIAL"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/108897",
  "disclosure_items": [
    {
      "item": "11.C(1)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(1)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    }
  ],
  "city_as_filed": "SHELTON",
  "url": "https://advisorcensus.com/firm/ast-investment-services-inc-shelton-ct-108897",
  "display_name": "AST Investment Services, Inc.",
  "summary": "AST Investment Services, Inc. is an SEC-registered investment advisory firm in Shelton, CT, registered since 1992, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated September 25, 2026.",
  "citation": "AdvisorCensus. AST Investment Services, Inc. (CRD 108897): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for investment companies (and business development companies)",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is AST Investment Services, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), AST Investment Services, Inc. reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Where is AST Investment Services, Inc. located?",
      "a": "AST Investment Services, Inc.'s principal office is in Shelton, CT, according to its Form ADV; the October 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is AST Investment Services, Inc. registered with the SEC or a state?",
      "a": "AST Investment Services, Inc. is an SEC-registered investment advisory firm, registered since 1992. Status as filed: Approved. CRD 108897."
    },
    {
      "q": "How much does AST Investment Services, Inc. manage?",
      "a": "AST Investment Services, Inc. reports $91,470,712,627 in regulatory assets under management in its Form ADV filing dated September 25, 2026 (100% discretionary)."
    },
    {
      "q": "How have AST Investment Services, Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for AST Investment Services, Inc.: Regulatory assets under management: $159,451,022,821 in the October 2021 data and $91,470,712,627 in the October 2026 data, down 43%. Total employees: 56 in October 2021 and 42 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does AST Investment Services, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: investment companies (1)."
    },
    {
      "q": "Does AST Investment Services, Inc. report any disciplinary disclosures?",
      "a": "Reports 7 disclosure items on Form ADV Item 11: yes answers to 7 questions about regulatory matters (11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(4)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/108897"
    },
    {
      "q": "What changed in AST Investment Services, Inc.'s recent Form ADV filings?",
      "a": "In the October 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 159451022821.0,
      "total_employees": 56,
      "filing_date": "2021-03-24"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 160021477323.0,
      "total_employees": 58,
      "filing_date": "2022-04-28"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 122238315019.0,
      "total_employees": 63,
      "filing_date": "2023-03-27"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 105935674542.0,
      "total_employees": 53,
      "filing_date": "2024-06-20"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 93541799206.0,
      "total_employees": 52,
      "filing_date": "2025-05-07"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 91470712627.0,
      "total_employees": 42,
      "filing_date": "2026-09-25"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-06-01",
      "period_label": "June 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 12 to 9.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/ast-investment-services-inc-shelton-ct-108897.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 1,
      "fewer_than_5": false,
      "raum": 91470712627.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    }
  ],
  "disclosure_line": "Reports 7 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/108897",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}