- S&P 500 7,659.44 −1.09%
- Dow Jones 52,002.41 −0.34%
- Nasdaq 26,713.03 +0.08%
- VIX 19.99 +21.45%
- 10-year Treasury 5.09% −0.01
- Dollar index 121.40 −0.14%
- WTI crude $101.91 +1.04%
M&G Alternatives Investment Management Limited: investment adviser
M&G Alternatives Investment Management Limited is an investment adviser registered with the SEC (file 802-107608, CRD 283173). What it reports on Form ADV: assets and clients, fees, owners, disciplinary history and its client brochure. From the SEC's Investment Adviser Public Disclosure site; read Oct 21, 2026.
- Assets managed
- –
- Discretionary
- –
- Accounts
- –
- Employees
- –
- In advisory roles
- –
- Disclosures
- 2
Company page · SEC adviser record · Full Form ADV (PDF)
The firm reports no custody of client cash or securities.
Form ADV Part 1A, Item 5, as filed on the SEC Investment Adviser Public Disclosure site; read Oct 21, 2026.
Who owns it
Schedule A lists direct owners of 5% or more (and officers who own a stake); Schedule B lists the owners of those owners.
Direct owners (Schedule A)
| Owner | Type | Role | Stake | Since | Control | Public company |
|---|---|---|---|---|---|---|
| M&G Fa Limited | Company (outside the U.S.) | Parent company | E 75% or more | Dec 1999 | Yes |
Indirect owners (Schedule B)
| Owner | Owns a stake in | Type | Stake | Control | Public company |
|---|---|---|---|---|---|
| M&G Group Limited | M&G Fa Limited | Company (outside the U.S.) | E 75% or more | Yes | |
| M&G Group Regulated Entity | M&G Group Limited | Company (outside the U.S.) | E 75% or more | Yes | |
| M&G PLC | M&G Group Regulated Entity Holding Company Parent Limited Company | Company (outside the U.S.) | E 75% or more | Yes |
Form ADV reports ownership in bands, not exact stakes: A means 5% to 10%, B 10% to 25%, C 25% to 50%, D 50% to 75%, E 75% or more. F marks a general partner, trustee or managing member, a role that controls the firm without a percentage. Owners of less than 5% are not listed.
Form ADV Schedules A and B, via the SEC Investment Adviser Public Disclosure site.
Disciplinary history
What the firm disclosed under Item 11 of Form ADV. A disclosure is the firm's own report: pending matters are allegations, not findings, and many settlements are made without admitting or denying them. Text is quoted from the filing, set in sentence case.
Item 11 questions answered Yes
These questions cover the firm and its advisory affiliates.
- Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?
Actions about affiliates (2)
- Sep 30, 2019Regulatory Action: United Kingdom Financial Services Authority FinalAbout an affiliate: The Prudential AssuranceSanctions: Civil and Administrative Penalt(ies) /Fine(s) · Fine: $28.9M · Begun Oct 1, 2019 · Resolved Sep 30, 2019 · Consent · Docket 139793
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.
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.
- Apr 4, 2017Regulatory Action: The Federal Financial Supervisory Authority of Germany (BAFIN) FinalAbout an affiliate: M&G Investment; the full record is on the affiliate's own Form ADVSanctions: Civil and Administrative Penalt(ies) /Fine(s) · Fine: $78,800 · Begun Apr 4, 2017 · Resolved Apr 4, 2017 · Order · Docket WA 17-WP 3120-2015 / 0120-0124
The 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.
Form ADV Item 11 and its Disclosure Reporting Pages, via the SEC record. All adviser disciplinary records.
The brochure
No brochure text was read for this firm.
Form ADV Part 2A, via the SEC Investment Adviser Public Disclosure site.