M&G Investments (Usa) Inc.
- Regulatory AUM
- $14.3B
- Discretionary
- $14.3B
- Clients
- 0
- Avg AUM / client
- —
- Accounts
- 9
- Employees
- 47
AUM over time
Annual snapshots from Form ADV filings · as of Mar 26, 2026
Asset allocation (SMA assets by investment type)
as of Mar 26, 2026Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Insurance companies | 0 | $14.3B | 100.0% |
People (4)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Zamora, Nelson, Alejandro | Chief Operating Officer | Mar 2019 (7y) | Less than 5% | |
| Mc Morran, Nicholas, Robert | Director | Jul 2019 (7y) | Less than 5% | |
| Balestrieri, Anthony, Gerard | Director / President / Chief Investment Officer | Mar 2020 (6y) | Less than 5% | |
| Yarbrough, Christopher, Keene | Chief Compliance Officer / Head Of Legal | Feb 2022 (5y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| M&G Investments (Americas) Inc. | Parent Company | Jul 2019 | A | 75% or more |
| M&G Fa Limited | Shareholder | Dec 1999 | B | ≈ 56.25% – 100% via M&G Investments (Americas) Inc. |
| M&G Group Limited | Shareholder | Dec 1999 | B | ≈ 42.19% – 100% via M&G Fa Limited |
| M&G Plc | Shareholder | Dec 1999 | B | ≈ 23.73% – 100% via M&G Group Regulated Entity Holding Company Limited |
| M&G Group Regulated Entity Holding Company Limited | Shareholder | Jul 2020 | B | ≈ 31.64% – 100% via M&G Group Limited |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- M&G Fa Limited: 75% – 100% of M&G Investments (Americas) Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
- M&G Group Limited: 75% – 100% of M&G Fa Limited × 75% – 100% of M&G Investments (Americas) Inc. × 75% – 100% direct ≈ 42.19% – 100% of the firm
- M&G Plc: 75% – 100% of M&G Group Regulated Entity Holding Company Limited × 75% – 100% of M&G Group Limited × 75% – 100% of M&G Fa Limited × 75% – 100% of M&G Investments (Americas) Inc. × 75% – 100% direct ≈ 23.73% – 100% of the firm
- M&G Group Regulated Entity Holding Company Limited: 75% – 100% of M&G Group Limited × 75% – 100% of M&G Fa Limited × 75% – 100% of M&G Investments (Americas) Inc. × 75% – 100% direct ≈ 31.64% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/26/2026 | 2.23 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: BAFIN ALLEGED THAT MAGIM DID NOT HAVE PROCEDURES IN PLACE TO ENSURE COMPLIANCE WITH GERMAN LAW REGARDING NOTIFICATION TO THE BAFIN OF SIGNIFICANT SHAREHOLDINGS IN GERMAN SECURITIES. Status: Final Sanction Detail: FINE INCLUDES COSTS OF $3,800 Summary: BAFIN ALLEGED THAT MAGIM DID NOT HAVE PROCEDURES IN PLACE TO ENSURE COMPLIANCE WITH GERMAN LAW REGARDING NOTIFICATION TO THE BAFIN OF SIGNIFICANT SHAREHOLDINGS IN GERMAN SECURITIES.
Allegations: THE FCA'S ENFORCEMENT DIVISION HAS CONCLUDED THAT, BETWEEN 1 JULY 2008 AND 30 SEPTEMBER 2017, PRUDENTIAL FAILED TO TAKE REASONABLE CARE IN RELATION TO NON-ADVISED SALES OF ANNUITIES TO EXISTING CUSTOMERS WHO WERE APPROACHING RETIREMENT AND WHO MAY HAVE BEEN ELIGIBLE FOR A BETTER ANNUITY RATE ON THE OPEN MARKET THAN THE ONE THEY GOT FROM PRUDENTIAL ASSURANCE COMPANY. THE FCA FOUND THAT PRUDENTIAL ASSURANCE COMPANY HAD FAILED TO TAKE REASONABLE CARE TO ORGANISE AND CONTROL ITS AFFAIRS RESPONSIBLY AND EFFECTIVELY , THUS FAILING TO TREAT CUSTOMERS FAIRLY. IT ALSO FOUND THAT THE CALL DOCUMENTATION AND INCENTIVES PROVIDED TO FRONT-LINE SALES STAFF INCREASED THE RISK OF CUSTOMER DETRIMENT. Status: Final Sanction Detail: THE FCA'S ENFORCEMENT DIVISION HAS CONCLUDED THAT, BETWEEN 1 JULY 2008 AND 30 SEPTEMBER 2017, PRUDENTIAL FAILED TO TAKE REASONABLE CARE IN RELATION TO NON-ADVISED SALES OF ANNUITIES TO EXISTING CUSTOMERS WHO WERE APPROACHING RETIREMENT AND WHO MAY HAVE BEEN ELIGIBLE FOR A BETTER ANNUITY RATE ON THE OPEN MARKET THAN THE ONE THEY GOT FROM PRUDENTIAL ASSURANCE COMPANY. THE FCA FOUND THAT PRUDENTIAL ASSURANCE COMPANY HAD FAILED TO TAKE REASONABLE CARE TO ORGANISE AND CONTROL ITS AFFAIRS RESPONSIBLY AND EFFECTIVELY, THUS FAILING TO TREAT CUSTOMERS FAIRLY. IT ALSO FOUND THAT THE CALL DOCUMENTATION AND INCENTIVES PROVIDED TO FRONT-LINE SALES STAFF INCREASED THE RISK OF CUSTOMER DETRIMENT Summary: FCA ENFORCEMENT HAVE COMPLETED THEIR INVESTIGATION AND PUBLISHED THEIR FINDINGS ON 30 SEPTEMBER 2019. £23 .9M FINE, INC 30% DISCOUNT FOR EARLY SETTLEMENT, TO BE PAID BY 14 OCTOBER 2019.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for pooled investment vehicles
Custody
Reported custodians
- Hsbc Bank Plc $13.9B (97% of AUM) Mar 2026
- State Street $409M (3% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 26, 2026.
View current Form ADV (SEC/IAPD) ↗