BARINGS LLC
Latest filing: May 01, 2024 (182 days ago)
AUM
$307,726,562,224
13% change vs. 1 year ago
11% change vs. 3 years ago
25% change vs. 5 years ago
116% change vs. 10 years ago
Employee Count
985
-4% change vs. 1 year ago
-1% change vs. 3 years ago
-17% change vs. 5 years ago
76% change vs. 10 years ago
Main Office
CHARLOTTE, NC
300 S. TRYON STREET, CHARLOTTE, NC, UNITED STATES, 28202
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $296.1 |
| Non-Discretionary | $11.6 |
| Total | $307.7 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $68.1 |
| Institutional | $239.7 |
| Total | $307.7 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| CITIGROUP GLOBAL MARKETS INC. | NEW YORK-NY-USA | $153.4 |
| STATE STREET GLOBAL MARKETS, LLC | BOSTON-MA-USA | $34.0 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $239.7 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $239.7 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 1% | $2.4 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 4% | $9.6 |
| Municipal | 2% | $4.8 |
| Sovereign | 3% | $7.2 |
| IG Credit | 46% | $110.3 |
| HY Credit | 12% | $28.8 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 6% | $14.4 |
| Other | 26% | $62.3 |
| Total | 100% | $239.7 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| BARING INTERNATIONAL INVESTMENT LTD | $17.5 | 105724 | |
| JEFFERIES FINANCE LLC | $16.4 | 162264 | |
| GRYPHON CAPITAL INVESTMENTS PTY LTD | $0.0 | - | |
| BARINGS INVESTMENT MANAGEMENT (SHANGHAI) LIMITED | $0.0 | - | |
| BARINGS AUSTRALIA PROPERTY PTY LTD | $0.0 | - | |
| BARING ASSET MANAGEMENT LIMITED | $0.0 | 299118 | |
| BARINGS OVERSEAS INVESTMENT FUND MANAGEMENT (SHANGHAI) LIMITED | $0.0 | - | |
| BARINGS JAPAN LIMITED | $0.0 | - | |
| BARING FUND MANAGERS LIMITED | $0.0 | - | |
| BARING ASSET MANAGEMENT (KOREA) LIMITED | $0.0 | - | |
| MML BAY STATE LIFE INSURANCE COMPANY | $0.0 | - | |
| MASSMUTUAL TRUST COMPANY, FSB | $0.0 | trust company | - |
| C.M. LIFE INSURANCE COMPANY | $0.0 | - | |
| BARINGS REAL ESTATE ADVISERS INC. | $0.0 | - | |
| BARINGS (U.K.) LIMITED | $0.0 | 158277 | |
| BARINGS AUSTRALIA PTY LTD | $0.0 | 169697 | |
| BARINGS AUSTRALIA ASSET MANAGEMENT PTY LTD | $0.0 | - | |
| BARINGS SINGAPORE PTE. LTD | $0.0 | - | |
| BARING ASSET MANAGEMENT SWITZERLAND SÀRL | $0.0 | - | |
| BARING SICE (TAIWAN) LIMITED | $0.0 | - | |
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | $0.0 | - | |
| BARINGS SECURITIES LLC | $0.0 | broker-dealer | 36929 |
| BARING ASSET MANAGEMENT (ASIA) LIMITED | $0.0 | 108513 | |
| BARING INTERNATIONAL FUND MANAGERS (IRELAND) LIMITED | $0.0 | 300157 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
20 active
| Name | Title |
|---|---|
| FRANCIS, SHELDON, MAURICE | CHIEF ADMINISTRATIVE OFFICER |
| CHICARES, ELIZABETH, WARD | DIRECTOR, AUDIT COMMITTEE, HUMAN RESOURCE COMMITTEE |
| CRANDALL, ROGER, WILLIAM | DIRECTOR, HUMAN RESOURCE COMMITTEE |
| CRADDOCK, GEOFFREY, JAMES | DIRECTOR, AUDIT COMMITTEE |
| FRENO, MICHAEL, DAVID | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD OF MANAGERS, AND DIRECTOR |
| DINERMAN, JILL, ELYSE | ASSISTANT SECRETARY |
| HOEFLING, PATRICK, LOUIS | CHIEF FINANCIAL OFFICER |
| CARY, CHRISOFFEL, C. | TREASURER |
| O'CONNOR, MICHAEL, JAMES | DIRECTOR, AUDIT COMMITTEE |
| MERRITT, SEARS, ANDREW | DIRECTOR |
| CICCO, SUSAN, MARIE | DIRECTOR, HUMAN RESOURCE COMMITTEE |
| LLOYD, ERIC, JAMES | PRESIDENT |
| WILLIAMS, RHIAN, CATRIN | SECRETARY |
| PARTLAN, ERIC, WILLIAM | DIRECTOR |
| LAGRANT, MELISSA, MARIE | CHIEF COMPLIANCE OFFICER |
| HUNTER, MEREDITH, ANNE | ASSISTANT SECRETARY |
ADVDB.CO • SOURCE: SEC
Representatives
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $307.7 | $0.0 | 0% | 985 | 0 | 0% |
| 2024-04-02 | $307.7 | $0.0 | 0% | 985 | 0 | 0% |
| 2023-04-04 | $273.2 | $34.5 | 13% | 1,029 | -44 | -4% |
| 2022-04-01 | $307.4 | $0.4 | 0% | 1,019 | -34 | -3% |
| 2021-04-05 | $277.5 | $30.2 | 11% | 997 | -12 | -1% |
| 2020-04-01 | $276.3 | $31.4 | 11% | 1,093 | -108 | -10% |
| 2019-04-01 | $246.8 | $60.9 | 25% | 1,191 | -206 | -17% |
| 2018-04-02 | $240.6 | $67.1 | 28% | 995 | -10 | -1% |
| 2017-04-01 | $220.4 | $87.3 | 40% | 936 | 49 | 5% |
| 2016-04-01 | $158.9 | $148.8 | 94% | 639 | 346 | 54% |
| 2015-04-01 | $156.3 | $151.5 | 97% | 622 | 363 | 58% |
| 2014-04-01 | $142.8 | $164.9 | 116% | 560 | 425 | 76% |
| 2013-04-01 | $100.6 | $207.1 | 206% | 510 | 475 | 93% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| NC, AK-06/17/1994, AL-03/22/1994, AR-04/28/1994, AZ-06/28/1994, CA-01/01/1970, CO-03/31/2010, CT-01/29/2001, DC-01/29/2001, DE-07/24/2003, FL-06/15/1996, GA-01/29/2001, HI-01/03/1995, IA-01/29/2001, ID-06/27/1994, IL-08/23/1967, IN-01/29/2001, KS-01/29/2001, KY-01/29/2001, LA-10/20/1993, MA-01/24/2003, MD-06/20/1991, ME-01/29/2001, MI-11/14/1997, MN-01/29/2001, MO-01/29/2001, MS-01/29/2001, MT-01/29/2001, NC-01/29/2001, ND-01/29/2001, NE-01/29/2001, NH-01/29/2001, NJ-01/29/2001, NM-01/29/2001, NV-05/26/1994, NY-12/19/1973, OH-01/29/2001, OK-01/29/2001, OR-10/19/2001, PA-03/24/1942, RI-01/01/1993, SC-02/15/1994, SD-01/29/2001, TN-01/29/2001, TX-09/15/1966, UT-05/05/1992, VA-07/16/1991, VT-01/29/2001, WA-08/28/1991, WI-05/03/1999, WV-06/01/1994, WY-03/29/2019 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV