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