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M&G INVESTMENTS (USA) INC.

CHICAGO, IL · CRD 305254 · IAPD ↗ · mandg.com · 1-872-263-2275

$14.32BRegulatory AUM
21Advisory reps
47Employees
1Clients
n/aPlanning clients
0Private funds
3States
2Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

45
April 2026 — M&G INVESTMENTS (USA) INC. added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
37
April 2025 — M&G INVESTMENTS (USA) INC. notice-filed in CA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
April 2024 — M&G INVESTMENTS (USA) INC.'s Item 11 disclosure-reporting entries rose by 1 (1 -> 2).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
45
April 2024 — M&G INVESTMENTS (USA) INC. shrank from 26 to 19 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.