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BARINGS LLC
BARINGS LLC (CRD# 106006) is an SEC-Registered Investment Advisor (RIA), headquartered in Charlotte, NC. The SEC approved the firm to operate as an RIA in Nov 1940. In Mar 2018, the firm reported total Regulatory Assets Under Management (RAUM) of $240.6 Billion, and has discretion over 96% of those assets.   Pooled investment vehicles (Private Funds) account for 13% of RAUM.   Non-US investors represent 15% .  
 
BARINGS LLC also reported in Mar 2018:
  • 995 employees, with 416 performing advisory functions.
  • A total of 18 office locations.
  • Registration with one or more foreign financial regulatory authorities.
  • Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
BARINGS LLC has no disclosure events reported to the SEC at this time.
 

View BARINGS LLC's most recent Form ADV filing
 


BARINGS LLC has Notice Filings with the following State Securities Authorities: AK-Jun 1994, AL-Mar 1994, AR-Apr 1994, AZ-Jun 1994, CA-Jan 1970 , CO-Mar 2010, CT-Jan 2001, DC-Jan 2001, DE-Jul 2003, FL-Jun 1996 , GA-Jan 2001, HI-Jan 1995, IA-Jan 2001, ID-Jun 1994, IL-Aug 1967 , IN-Jan 2001, KS-Jan 2001, KY-Jan 2001, LA-Oct 1993, MA-Jan 2003 , MD-Jun 1991, ME-Jan 2001, MI-Nov 1997, MN-Jan 2001, MO-Jan 2001 , MS-Jan 2001, MT-Jan 2001, NC-Jan 2001, ND-Jan 2001, NE-Jan 2001 , NH-Jan 2001, NJ-Jan 2001, NM-Jan 2001, NV-May 1994, NY-Dec 1973 , OH-Jan 2001, OK-Jan 2001, OR-Oct 2001, PA-Mar 1942, RI-Jan 1993 , SC-Feb 1994, SD-Jan 2001, TN-Jan 2001, TX-Sep 1966, UT-May 1992 , VA-Jul 1991, VT-Jan 2001, WA-Aug 1991, WI-May 1999, WV-Jun 1994

Disclaimer:  The information presented above was gleaned from the SEC website and is believed to be accurate.  FindingFraud.org is presenting this data for informational purposes only and assumes no responsibility for errors or omissions.  Please note that we are aware of many instances where RIAs provided erroneous data to the SEC.  Feel Free to contact FindingFraud.org with questions or concerns.