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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

BARING ASSET MANAGEMENT LLC

CRD 105426

BOSTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:606e01f0-54a6-9f8d-8827-cb4eae6532eb

Data as of Mar 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2012
1 observations

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $6.4BItem 5.F on the latest filing (2012-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $6.4B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 20
Private funds: 3Schedule D 7.B(1)
Private fund GAV: $971Mgross asset value as reported per fund; never fund size
Custody, client assets: $1.4B
SEC number: 801-4611
CRD: 105426
Filings on the tape: 1
First filed: Mar 30, 2012
Latest filed: Mar 30, 2012
Organised: Limited Liability Company, Massachusetts

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BRENNAN, DAVID, J	Chairman	Na	yes	04/1998	Mar 30, 2012	Mar 30, 2012
BROWN, MICHAEL, THOMAS	PRESIDENT, MANAGER	Na	yes	05/2002	Mar 30, 2012	Mar 30, 2012
CECERE, ROBERT, MICHAEL	MANAGER, COO	Na	yes	05/2002	Mar 30, 2012	Mar 30, 2012
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY	SHAREHOLDER 4: SHAREHOLDER OF SHAREHOLDER 3	E	yes	06/1995	Mar 30, 2012	Mar 30, 2012
MASSMUTUAL BARING HOLDING LLC	SHAREHOLDER 1: SHAREHOLDER OF APPLICANT	E	yes	01/2006	Mar 30, 2012	Mar 30, 2012
MASSMUTUAL HOLDING LLC	SHAREHOLDER 3: SHAREHOLDER OF SHAREHOLDER 2	E	yes	02/2012	Mar 30, 2012	Mar 30, 2012
MM ASSET MANAGEMENT HOLDING LLC	SHAREHOLDER 2: SHAREHOLDER OF SHAREHOLDER 1	E	yes	02/2012	Mar 30, 2012	Mar 30, 2012
THELEN, TRACI, AUDRA	VP, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER	Na	no	02/2005	Mar 30, 2012	Mar 30, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

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 (ASIA) LIMITED	n/a	Former SEC adviser	$5.6B	N	yes	n/a
BABSON CAPITAL SECURITIES LLC	n/a	n/a	n/a	N	yes	n/a
BARING ASSET MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SAN FRANSCISCO	CA	United States	n/a	no
Toronto	n/a	Canada	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$6.4B	$6.4B	n/a	n/a	n/a	3	$971M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$6.4B	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (3)

→ BARING INTERNATIONAL INVESTMENT LTDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ BARING ASSET MANAGEMENT (ASIA) LIMITEDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANYRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (7)

← CECERE, ROBERT, MICHAELOwnerMANAGER, COO, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← BROWN, MICHAEL, THOMASOwnerPRESIDENT, MANAGER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← BRENNAN, DAVID, JOwnerCHAIRMAN, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANYOwnerSHAREHOLDER 4: SHAREHOLDER OF SHAREHOLDER 3, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← MASSMUTUAL BARING HOLDING LLCOwnerSHAREHOLDER 1: SHAREHOLDER OF APPLICANT, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← MASSMUTUAL HOLDING LLCOwnerSHAREHOLDER 3: SHAREHOLDER OF SHAREHOLDER 2, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← MM ASSET MANAGEMENT HOLDING LLCOwnerSHAREHOLDER 2: SHAREHOLDER OF SHAREHOLDER 1, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Owns (1)

← THELEN, TRACI, AUDRAOwnerVP, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:606e01f0-54a6-9f8d-8827-cb4eae6532eb
First observed: Mar 30, 2012
Last observed: Mar 30, 2012 176 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

BARING ASSET MANAGEMENT LLC

CRD 105426

BOSTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:606e01f0-54a6-9f8d-8827-cb4eae6532eb

Data as of Mar 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:09 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BRENNAN, DAVID, J

Chairman

yes

04/1998

Mar 30, 2012

BROWN, MICHAEL, THOMAS

PRESIDENT, MANAGER

yes

05/2002

Mar 30, 2012

CECERE, ROBERT, MICHAEL

MANAGER, COO

yes

05/2002

Mar 30, 2012

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

SHAREHOLDER 4: SHAREHOLDER OF SHAREHOLDER 3

yes

06/1995

Mar 30, 2012

MASSMUTUAL BARING HOLDING LLC

SHAREHOLDER 1: SHAREHOLDER OF APPLICANT

yes

01/2006

Mar 30, 2012

MASSMUTUAL HOLDING LLC

SHAREHOLDER 3: SHAREHOLDER OF SHAREHOLDER 2

yes

02/2012

Mar 30, 2012

MM ASSET MANAGEMENT HOLDING LLC

SHAREHOLDER 2: SHAREHOLDER OF SHAREHOLDER 1

yes

02/2012

Mar 30, 2012

THELEN, TRACI, AUDRA

VP, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER

02/2005

Mar 30, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

n/a

Former SEC adviser

$40B

yes

n/a

BARING INTERNATIONAL INVESTMENT LTD

n/a

Institutional manager

$23B

yes

n/a

BARING ASSET MANAGEMENT (ASIA) LIMITED

n/a

Former SEC adviser

$5.6B

yes

n/a

BABSON CAPITAL SECURITIES LLC

n/a

yes

n/a

BARING ASSET MANAGEMENT LIMITED

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

SAN FRANSCISCO

United States

n/a

Toronto

n/a

Canada

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 30, 2012

$6.4B

n/a

$971M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$6.4B

n/a