M&G INVESTMENTS (USA) INC.
Adviser information for M&G INVESTMENTS (USA) INC. last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 25 |
|---|---|
| Investment Advisory/Research | 19 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 7 | $14.8B |
| Non-Discretionary | 0 | $0 |
| Total | 7 | $14.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $14.8B |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 100 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Principal Office
30 SOUTH WACKER DRIVESUITE 3750
CHICAGO
IL
United States
Monday - Friday, 9AM -5 PM
Tel: 312-952-9464, Fax: None
Chief Compliance Officer
CHRISTOPHER KEENE YARBROUGH
30 SOUTH WACKER DRIVE
SUITE 3750
CHICAGO
IL
United States
Tel:
+1 312-952-9464
C********************@********M
(Full email address available in API data)
Industry Affiliates
| M&G (GUERNSEY) LTD | Other investment adviser, including financial planners |
| M&G ALTERNATIVES INVESTMENT MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| M&G FINANCIAL SECURITIES LTD | Other investment adviser, including financial planners |
| M&G GROUP PCC LTD | Insurance company or agency |
| M&G INVESTMENT MANAGEMENT LTD. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| M&G INVESTMENTS (HONG KONG) LTD | Other investment adviser, including financial planners |
| M&G INVESTMENTS (SINGAPORE) PTE. LTD. | Other investment adviser, including financial planners |
| M&G INVESTMENTS (TAIWAN) LTD | Other investment adviser, including financial planners |
| M&G INVESTMENTS JAPAN CO., LTD | Other investment adviser, including financial planners |
| M&G LUXEMBOURG S.A | Other investment adviser, including financial planners |
| M&G REAL ESTATE ASIA PTE. LTD | Other investment adviser, including financial planners |
| M&G REAL ESTATE FUNDS MANAGEMENT S.�.R.L. | Other investment adviser, including financial planners |
| M&G REAL ESTATE JAPAN CO., LTD. | Other investment adviser, including financial planners |
| M&G REAL ESTATE LTD | Insurance company or agency |
| M&G SECURITIES LTD | Other investment adviser, including financial planners |
| M&G SIF MANAGEMENT COMPANY (IRELAND) LTD | Other investment adviser, including financial planners |
| MANDG INVESTMENT MANAGERS (PTY) LTD | Other investment adviser, including financial planners |
| MANDG INVESTMENTS (NAMIBIA) (PTY) LTD | Other investment adviser, including financial planners |
| MANDG INVESTMENTS LIFE SOUTH AFRICA (RF) LTD | Other investment adviser, including financial planners |
| MANDG INVESTMENTS UNIT TRUSTS (NAMIBIA) LTD | Other investment adviser, including financial planners |
| MANDG INVESTMENTS UNIT TRUSTS SOUTH AFRICA (RF) LTD | Other investment adviser, including financial planners |
| RESPONSABILITY INVESTMENTS AG | Other investment adviser, including financial planners |
| THE PRUDENTIAL ASSURANCE COMPANY LIMITED | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| M&G INVESTMENTS (AMERICAS) INC. | Domestic Entity | – | PARENT COMPANY | 07/2019 | > 75% |
| McMorran, Nicholas, Robert | Individual | – | DIRECTOR | 07/2019 | < 5% |
| M&G FA LIMITED | Foreign Entity | M&G INVESTMENTS (AMERICAS) INC. | SHAREHOLDER | 12/1999 | > 75% |
| M&G GROUP LIMITED | Foreign Entity | M&G FA LIMITED | SHAREHOLDER | 12/1999 | > 75% |
| M&G PLC | Foreign Entity | M&G GROUP REGULATED ENTITY HOLDING COMPANY LIMITED | SHAREHOLDER | 12/1999 | > 75% |
| BALESTRIERI, ANTHONY, GERARD | Individual | – | DIRECTOR / PRESIDENT / CHIEF INVESTMENT OFFICER | 03/2020 | < 5% |
| ZAMORA, NELSON, ALEJANDRO | Individual | – | CHIEF OPERATING OFFICER | 03/2019 | < 5% |
| M&G GROUP REGULATED ENTITY HOLDING COMPANY LIMITED | Foreign Entity | M&G GROUP LIMITED | SHAREHOLDER | 07/2020 | > 75% |
| YARBROUGH, CHRISTOPHER, KEENE | Individual | – | CHIEF COMPLIANCE OFFICER / HEAD OF LEGAL | 02/2022 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed May 8th, 2024 for period ending December 31st, 2023
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ADOBE INC | COM | 3M | 4K | – |
| ALPHABET INC | CAP STK CL A | 4M | 26K | – |
| AMAZON COM INC | COM | 2M | 14K | – |
| APPLE INC | COM | 5M | 24K | – |
| APPLIED MATLS INC | COM | 2M | 13K | – |
| ARISTA NETWORKS INC | COM | 2M | 8K | – |
| AXON ENTERPRISE INC | COM | 2M | 8K | – |
| BROADCOM INC | COM | 2M | 2K | – |
| CATERPILLAR INC | COM | 1M | 5K | – |
| CISCO SYS INC | COM | 3M | 58K | – |
| COMCAST CORP NEW | CL A | 2M | 52K | – |
| DEERE & CO | COM | 1M | 3K | – |
| ELEVANCE HEALTH INC | COM | 2M | 5K | – |
| EXXON MOBIL CORP | COM | 3M | 30K | – |
| HONEYWELL INTL INC | COM | 2M | 10K | – |
| HUMANA INC | COM | 2M | 4K | – |
| INFOSYS LTD | SPONSORED ADR | 937K | 52K | – |
| INTEL CORP | COM | 3M | 55K | – |
| INTUIT | COM | 2M | 3K | – |
| INTUITIVE SURGICAL INC | COM NEW | 1M | 4K | – |
| JPMORGAN CHASE & CO | COM | 3M | 17K | – |
| LAM RESEARCH CORP | COM | 2M | 3K | – |
| META PLATFORMS INC | CL A | 4M | 12K | – |
| MICRON TECHNOLOGY INC | COM | 3M | 34K | – |
| MICROSOFT CORP | COM | 5M | 13K | – |
| MOBILEYE GLOBAL INC | COMMON CLASS A | 1M | 27K | – |
| MOTOROLA SOLUTIONS INC | COM NEW | 4M | 12K | – |
| NETFLIX INC | COM | 1M | 3K | – |
| NVIDIA CORPORATION | COM | 4M | 8K | – |
| ON SEMICONDUCTOR CORP | COM | 1M | 13K | – |
| ORACLE CORP | COM | 1M | 11K | – |
| PALO ALTO NETWORKS INC | COM | 2M | 7K | – |
| PDD HOLDINGS INC | SPONSORED ADS | 1M | 8K | – |
| PEPSICO INC | COM | 2M | 11K | – |
| QUALCOMM INC | COM | 1M | 8K | – |
| SALESFORCE INC | COM | 2M | 8K | – |
| SERVICENOW INC | COM | 3M | 5K | – |
| SNOWFLAKE INC | CL A | 2M | 8K | – |
| TESLA INC | COM | 4M | 14K | – |
| UNITEDHEALTH GROUP INC | COM | 2M | 4K | – |
| VISA INC | COM CL A | 3M | 10K | – |
| WALMART INC | COM | 3M | 19K | – |
| WORKDAY INC | CL A | 2M | 8K | – |