{"url":"https://nivawealth.com/firms/m-and-g-investments-usa-305254","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/305254","regulatoryAum":14324247494,"crd":"305254","secFileNumber":"801-118836","legalName":"M&G Investments (usa) Inc.","displayName":"M&G Investments (usa)","website":null,"founded":null,"organization":"Delaware corporation","fiscalYearEnd":"December","headquarters":{"street":"30 South Wacker Drive, Suite 3750","city":"Chicago","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60606"},"tradeNames":["M&G Investments"],"registration":{"secApproved":"29 May 2020","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":47,"advisory":21,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":14324247494,"discretionaryAccounts":9,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":50,"nonAumClients":1},"clientTypes":[{"label":"Insurance companies","clients":0,"regulatoryAum":14324247494}],"fees":[],"feeNotes":[],"custodians":[{"name":"HSBC Bank PLC","shortName":"HSBC Bank PLC","location":"London","smaAssets":13915005979},{"name":"State Street Bank International GMBH, Luxembourg Branch","shortName":"State Street Bank International GMBH, Luxembourg Branch","location":"Luxembourg City","smaAssets":360108036},{"name":"State Street Bank and Trust Company","shortName":"State Street Bank and Trust","location":"London","smaAssets":49133479}],"custodyNote":"M&G Investments (usa) does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Anthony Balestrieri","title":"Director / President / Chief Investment Officer","crd":"2496936"},{"name":"Christopher Yarbrough","title":"Chief Compliance Officer / Head of Legal","crd":"5021190"},{"name":"Nicholas McMorran","title":"Director","crd":"7092935"},{"name":"Joseph Pinto","title":"Director","crd":"6287534"},{"name":"Erica Tully","title":"Director / Portfolio Manager Investments US","crd":"8336380"}],"ownership":[{"label":"M&G Investments (americas) Inc.","detail":"Parent company in the 75% or more ownership band and a control person, since July 2019."},{"label":"M&G Fa Limited","detail":"Indirect owner: a shareholder of M&G Investments (americas) Inc. in the 75% or more band and a control person, since December 1999.","parent":"M&G Investments (americas) Inc."},{"label":"M&G Group Limited","detail":"Indirect owner: a shareholder of M&G Fa Limited in the 75% or more band and a control person, since December 1999.","parent":"M&G Fa Limited"},{"label":"M&G PLC","detail":"Indirect owner: a shareholder of M&G Group Regulated Entity Holding Company Limited in the 75% or more band and a control person, since December 1999.","parent":"M&G Group Regulated Entity Holding Company Limited"},{"label":"M&G Group Regulated Entity Holding Company Limited","detail":"Indirect owner: a shareholder of M&G Group Limited in the 75% or more band and a control person, since July 2020.","parent":"M&G Group Limited"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":3,"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"915 Wilshire BLVD.","city":"Los Angeles"}]},{"state":"Illinois","offices":1,"addresses":[{"street":"30 South Wacker Drive, Suite 3750","city":"Chicago","headquarters":true}]},{"state":"New York","offices":1,"addresses":[{"street":"12 E. 49th Street","city":"New York"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"18722632275","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":2},{"label":"U.S. government/agency bonds","percent":13},{"label":"Investment grade corporate bonds","percent":64},{"label":"Non-investment grade corporate bonds","percent":3},{"label":"Derivatives","percent":13},{"label":"Cash and cash equivalents","percent":6}],"privateFunds":0},"sources":{"adv1FilingDate":"28 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/305254/PDF/305254.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"What services does M&G Investments (usa) offer?","answer":"M&G Investments (usa) provides portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does M&G Investments (usa) use?","answer":"M&G Investments (usa)’s separately managed account assets are held at HSBC Bank PLC (London), with $13,915,005,979, State Street Bank International GMBH, Luxembourg Branch (Luxembourg City), with $360,108,036 and State Street Bank and Trust Company (London), with $49,133,479. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 28 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does M&G Investments (usa) have?","answer":"M&G Investments (usa) has 0 investment adviser representatives registered with state securities authorities, out of 47 employees, and 21 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does M&G Investments (usa) invest in?","answer":"At the end of its last fiscal year, M&G Investments (usa)’s separately managed accounts held 64% investment grade corporate bonds, 13% U.S. government and agency bonds, 13% derivatives, 6% cash and equivalents, 3% high-yield corporate bonds and 2% exchange-traded equities. It advises no private funds of its own.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns M&G Investments (usa)?","answer":"M&G Investments (usa) is owned through a chain of holding companies by M&G PLC. Its direct owner is M&G Investments (americas) Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 28 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does M&G Investments (usa) get paid?","answer":"M&G Investments (usa) is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}