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B••••• C•••••• F••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

B••••• C•••••• F••••••• L••

CRD 166760

SPRINGFIELD, MA

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Search this name across graphsid dfx:ria:66709c32-8f35-47b5-02e9-531b859e3cda

Data as of Mar 31, 2014 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: May 1, 2013 to Mar 31, 2014
3 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 0
Advisory employees: 0
SEC number: 801-78035
CRD: 166760
Filings on the tape: 3
First filed

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• C•••••• M••••••••• L••	Manager	E	yes	12/2012	May 1, 2013	Mar 31, 2014
C••••• B••••••••• M••••	CHIEF FINANCIAL OFFICER	Na	yes	04/2013	May 1, 2013	Mar 31, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B••••• C•••••• M••••••••• L••	n/a	Institutional manager	$393B	Y	yes	n/a
B••••• C•••••• S••••••••• L••	n/a	n/a	n/a	N	yes

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
LOS ANGELES	CA	United States	n/a	no
Chicago	IL	United States	n/a	no
Boston	Ma	United States	n/a	no
Charlotte	Nc	United States	n/a	no
NEW YORK	NY	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 31, 2014	n/a	n/a	0	0	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	n/a	n/a	n/a	n/a	n/a	0	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ BARINGS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV

Controls (8)

← B••••• C•••••• M••••••••• L••OwnerMANAGER, ownership code E, domestic entity
May 1, 2013 to presentfactForm ADV
← L••••• E•••• J••••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 31, 2014 to presentfactForm ADV
← C••••• B••••••••• M••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual

Dated events

Occurred
May 1, 2013
First Form ADV filing
B••••• C•••••• F••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:66709c32-8f35-47b5-02e9-531b859e3cda
First observed: May 1, 2013
Last observed: Mar 31, 2014 151 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.