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CRD 108513
HONG KONG
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BARING ASSET MANAGEMENT (ASIA) HOLDINGS LTD | SHAREHOLDER 1: SHAREHOLDER OF APPLICANT | E | yes | 11/1986 | Mar 29, 2012 | Mar 26, 2015 |
| BARING ASSET MANAGEMENT LTD | SHAREHOLDER 4: SHAREHOLDER OF 3 | E | yes | 02/1986 | Mar 29, 2012 | Mar 26, 2015 |
| BARING ASSET MANAGEMENT UK HOLDINGS LIMITED | SHAREHOLDER 2: SHAREHOLDER OF 1 | E | yes | 03/1991 | Mar 29, 2012 | Mar 26, 2015 |
| BARING INTERNATIONAL INVESTMENT MANAGEMENT HOLDINGS | SHAREHOLDER 3: SHAREHOLDER OF 2 | E | yes | 06/2008 | Mar 29, 2012 | Mar 26, 2015 |
| BRENNAN, DAVID, J | Chairman | Na | yes | 12/2002 | Mar 29, 2012 | Mar 26, 2015 |
| CHAN, KEVIN | CHIEF OPERATING OFFICER | Na | yes | 09/2009 | Mar 29, 2012 | Mar 26, 2015 |
| CHUNG, TRASER | CHIEF COMPLIANCE OFFICER | Na | yes | 09/2006 | Mar 29, 2012 | Mar 26, 2015 |
| KHWARG, THAE, SURN | CHIEF EXECUTIVE OFFICER, KOREA | Na | yes | 04/2013 | Apr 25, 2013 | Mar 26, 2015 |
| LEE, ERIC, CHIN HUNG | CHIEF FINANCIAL OFFICER | Na | yes | 07/2013 | Mar 26, 2015 | Mar 26, 2015 |
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | SHAREHOLDER 9: SHAREHOLDER OF 8 | E | yes | 06/1995 | Mar 29, 2012 | Mar 26, 2015 |
| MASSMUTUAL BARING HOLDING LLC | SHAREHOLDER 6: SHAREHOLDER OF 5 | E | yes | 01/2006 | Mar 29, 2012 | Mar 26, 2015 |
| MASSMUTUAL HOLDING LLC | SHAREHOLDER 8: SHAREHOLDER OF 7 | E | yes | 12/2004 | Mar 29, 2012 | Mar 26, 2015 |
| MASSMUTUAL HOLDINGS (BERMUDA) LIMITED | SHAREHOLDER 5: SHAREHOLDER OF 4 | E | yes | 03/2005 | Mar 29, 2012 | Mar 26, 2015 |
| NG, GERRY, JOO YEOW | MANAGING DIRECTOR | Na | yes | 12/2004 | Mar 29, 2012 | Mar 26, 2015 |
| SIT, WILFRED, WING FAI | CHIEF INVESTMENT OFFICER | Na | yes | 01/2011 | Mar 29, 2012 | Mar 26, 2015 |
| MM ASSET MANAGEMENT HOLDING LLC | SHAREHOLDER 7: SHAREHOLDER OF 6 | E | no | 02/2012 | Mar 29, 2012 | Mar 26, 2015 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | n/a | Former SEC adviser | $40B | Y | yes | n/a |
| BARING INTERNATIONAL INVESTMENT LTD | n/a | Institutional manager | $23B | N | yes | n/a |
| BARING ASSET MANAGEMENT KOREA LIMITED | n/a | n/a | n/a | Y | yes | n/a |
| BARING ASSET MANAGEMENT LIMITED | n/a | n/a | n/a | Y | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2014 | Mar 26, 2015 | $5.6B | $5.6B | 68 | 20 | n/a | n/a | n/a |
| 2013 | Mar 27, 2014 | $6.0B | $6.0B | 64 | 20 | n/a | n/a | n/a |
| 2012 | Mar 27, 2013 | $7.6B | $7.6B | 61 | 19 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $8.2B | $8.2B | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2014 | $5.6B | $6.0B | -7.8% | $8.2B | -12.1% | 68 | 64 | n/a | n/a |