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 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$246.8 Billion,
with discretion over
97%
of those assets.
Pooled investment vehicles (Private Funds) account for
12%
of RAUM.
Non-US investors represent
15%
.
|
|
BARINGS LLC
also reported in
Mar 2019
-
1191
employees,
with
538
performing advisory functions.
-
A total of 15 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 one or more disclosure events currently on file with the SEC.
|
|
|
|
|
|
|
|
|
|
BARINGS LLC has Notice Filings with the following State Securities Authorities:
AK-Jun 1994, AL-Mar 1994, AR-Apr 1994, AZ-Jun 1994, CA- CO-Mar 2010, CT-Jan 2001, DC-Jan 2001, DE-Jul 2003, FL-<
, GA-Jan 2001, HI-Jan 1995, IA-Jan 2001, ID-Jun 1994, IL-<
, IN-Jan 2001, KS-Jan 2001, KY-Jan 2001, LA-Oct 1993, MA-<
, MD-Jun 1991, ME-Jan 2001, MI-Nov 1997, MN-Jan 2001, MO-<
, MS-Jan 2001, MT-Jan 2001, NC-Jan 2001, ND-Jan 2001, NE-<
, NH-Jan 2001, NJ-Jan 2001, NM-Jan 2001, NV-May 1994, NY-<
, OH-Jan 2001, OK-Jan 2001, OR-Oct 2001, PA-Mar 1942, RI-<
, SC-Feb 1994, SD-Jan 2001, TN-Jan 2001, TX-Sep 1966, UT-<
, VA-Jul 1991, VT-Jan 2001, WA-Aug 1991, WI-May 1999, WV-<
, WY-Mar 2019
|
|
|
|
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.
|
|
|
|
|
|
|
|
