# M&G INVESTMENTS (USA) INC.

M&G INVESTMENTS (USA) INC. of CHICAGO, IL is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 305254
- Type: SEC-registered investment adviser
- SEC file number: 801-118836
- Location: 30 SOUTH WACKER DRIVE, CHICAGO, IL, 60606
- Phone: 1-872-263-2275
- Latest filing: 2026-08-28
- Regulatory AUM: $14.3B
- Discretionary AUM: $14.3B
- Clients: 47
- Accounts: 9

## Business model

- Compensation: % of AUM, Performance
- Clients served: Investment cos

## Officers, owners & control persons (14)

| Name | Role | Location |
| --- | --- | --- |
| [Joseph Gilou Pinto](https://search.stillhousedata.com/person/685461) | DIRECTOR | — |
| [Nicholas Robert Mcmorran](https://search.stillhousedata.com/person/697521) | DIRECTOR | — |
| [Anthony Gerard Balestrieri](https://search.stillhousedata.com/person/697522) | DIRECTOR / PRESIDENT / CHIEF INVESTMENT OFFICER | — |
| [Nelson Alejandro Zamora](https://search.stillhousedata.com/person/697523) | CHIEF OPERATING OFFICER | — |
| [Christopher Keene Yarbrough](https://search.stillhousedata.com/person/697524) | CHIEF COMPLIANCE OFFICER / HEAD OF LEGAL | — |
| [MASON ALBERT DAVID](https://search.stillhousedata.com/person/753017) | DIRECTOR | — |
| [YARBROUGH CHRISTOPHER KEENE](https://search.stillhousedata.com/person/759315) | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER / HEAD OF LEGAL | — |
| [COTTON JEFFREY LAWRENCE](https://search.stillhousedata.com/person/794069) | CHIEF COMPLIANCE OFFICER | — |
| [BALESTRIERI ANTHONY GERARD](https://search.stillhousedata.com/person/838204) | DIRECTOR; DIRECTOR / PRESIDENT / CHIEF INVESTMENT OFFICER | — |
| [Daniels Jonathan Mark Brewis](https://search.stillhousedata.com/person/856001) | DIRECTOR | — |
| [McMorran Nicholas Robert](https://search.stillhousedata.com/person/858268) | DIRECTOR | — |
| [MUCKLEY DAVID ANDREW](https://search.stillhousedata.com/person/858270) | CHIEF COMPLIANCE OFFICER / HEAD OF LEGAL, US | — |
| [ZAMORA NELSON ALEJANDRO](https://search.stillhousedata.com/person/858271) | CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER | — |
| [Leaviss James](https://search.stillhousedata.com/person/871865) | DIRECTOR | — |


## Disclosures (6)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2019-10-01 | regulatory | 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… | Final | $28.9M |
| 2017-04-04 | regulatory | 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. | Final | $78K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/305254/brochure
- Similar advisers: https://search.stillhousedata.com/firm/305254/similar
- Related entities: https://search.stillhousedata.com/firm/305254/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/305254

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.