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CRD 106006
CHARLOTTE, NC
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| BARINGS GLOBAL INVESTMENT FUNDS 2 PLC | Other Private Fund | $2.6B | May 1, 2024 | 74 | Mar 31, 2014 | reported | 021-200435 |
| BARINGS REAL ESTATE DEBT INCOME FUND LP | Real Estate Fund | $1.3B | May 1, 2024 | 9 | Mar 30, 2022 | reported | n/a |
| BABSON CAPITAL FLOATING RATE INCOME MASTER FUND, L.P. | Other Private Fund | $1.1B | Sep 5, 2019 | 56 | Mar 30, 2012 | dropped | 021-148069 |
| BARINGS INNOVATION & GROWTH REAL ESTATE FUND LP | Real Estate Fund | $1.1B | May 1, 2024 | 15 | Mar 31, 2023 | reported | n/a |
| LAKEWATER LLC - SERIES III | Private Equity Fund | $668M | Mar 29, 2018 | 2 | Apr 1, 2013 | dropped | n/a |
| BARINGS ASSET-BASED INCOME FUND (US), L.P. | Private Equity Fund | $634M | May 1, 2024 | 31 | Mar 29, 2018 | reported | 021-293257 |
| BARINGS CLO LTD. 2018-I | Securitized Asset Fund | $518M | May 1, 2024 | 21 | Mar 29, 2019 | reported | n/a |
| BARINGS CLO LTD. 2022-III | Securitized Asset Fund | $502M | May 1, 2024 | 12 | Mar 31, 2023 | reported | n/a |
| BABSON CLO LTD. 2016-III | Securitized Asset Fund | $501M | Sep 5, 2019 | 21 | Mar 31, 2017 | dropped | n/a |
| BARINGS CLO LTD. 2023-II | Securitized Asset Fund | $501M | May 1, 2024 | 11 | Mar 26, 2024 | reported | n/a |
| BARINGS CLO LTD. 2023-III | Securitized Asset Fund | $500M | May 1, 2024 | 21 | Mar 26, 2024 | reported | n/a |
| BARINGS LOAN PARTNERS CLO LTD. 2 | Securitized Asset Fund | $500M | May 1, 2024 | 9 | Apr 8, 2022 | reported | n/a |
| BARINGS CLO LTD. 2019-I | Securitized Asset Fund | $498M | May 1, 2024 | 20 | Mar 30, 2020 | reported | n/a |
| BARINGS CLO LTD. 2019-II | Securitized Asset Fund | $493M | May 1, 2024 | 20 | Mar 30, 2020 | reported | n/a |
| BARINGS CLO LTD. 2018-IV | Securitized Asset Fund | $492M | May 1, 2024 | 18 | Mar 29, 2019 | reported | n/a |
| BARINGS MIDDLE MARKET CLO LTD. 2017-I | Securitized Asset Fund | $488M | May 1, 2024 | 8 | Mar 29, 2018 | reported | n/a |
| BARINGS MIDDLE MARKET CLO 2023-I LTD. | Securitized Asset Fund | $465M | May 1, 2024 | 13 | Mar 26, 2024 | reported | n/a |
| BARINGS CLO LTD. 2018-II | Securitized Asset Fund | $465M | May 1, 2024 | 21 | Mar 29, 2019 | reported | n/a |
| DORAL CLO I LTD. | Securitized Asset Fund | $454M | Dec 19, 2014 | 15 | Mar 30, 2012 | dropped | n/a |
| BARINGS CLO LTD. 2021-II | Securitized Asset Fund | $443M | May 1, 2024 | 21 | Mar 30, 2022 | reported | n/a |
| BARINGS CLO LTD. 2017-I | Securitized Asset Fund | $438M | May 1, 2024 | 21 | Mar 29, 2018 | reported | n/a |
| BARINGS CLO LTD. 2015-I | Securitized Asset Fund | $435M | May 1, 2024 | 27 | Mar 30, 2016 | reported | n/a |
| BARINGS CLO LTD. 2015-II | Securitized Asset Fund | $416M | May 1, 2024 | 21 | Mar 30, 2016 | reported | n/a |
| BARINGS MIDDLE MARKET CLO LTD. 2019-I | Securitized Asset Fund | $409M | May 1, 2024 | 9 | Mar 30, 2020 | reported | n/a |
| BARINGS LOAN PARTNERS CLO LTD. 3 | Securitized Asset Fund | $405M | May 1, 2024 | 11 | Mar 31, 2023 | reported | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CARY, CHRISOFFEL, C. | Treasurer | Na | yes | 04/2020 | Jun 24, 2020 | May 1, 2024 |
| CHICARES, ELIZABETH, WARD | DIRECTOR, AUDIT COMMITTEE, HUMAN RESOURCE COMMITTEE | Na | yes | 07/2012 | Sep 4, 2012 | May 1, 2024 |
| CICCO, SUSAN, MARIE | DIRECTOR, HUMAN RESOURCE COMMITTEE | Na | yes | 03/2020 | Jun 24, 2020 | May 1, 2024 |
| CRADDOCK, GEOFFREY, JAMES | DIRECTOR, AUDIT COMMITTEE | Na | yes | 10/2017 | Jan 16, 2018 | May 1, 2024 |
| CRANDALL, ROGER, WILLIAM | DIRECTOR, HUMAN RESOURCE COMMITTEE | Na | yes | 11/2012 | Nov 28, 2012 | May 1, 2024 |
| DINERMAN, JILL, Elyse | ASSISTANT SECRETARY | Na | yes | 05/2022 | Mar 30, 2020 | May 1, 2024 |
| FRANCIS, SHELDON, MAURICE | CHIEF ADMINISTRATIVE OFFICER | Na | yes | 09/2016 | Mar 30, 2012 | May 1, 2024 |
| FRENO, MICHAEL, DAVID | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD OF MANAGERS, AND DIRECTOR | Na | yes | 11/2020 | Mar 29, 2018 | May 1, 2024 |
| HOEFLING, PATRICK, LOUIS | CHIEF FINANCIAL OFFICER | Na | yes | 01/2020 | Mar 30, 2020 | May 1, 2024 |
| LAGRANT, MELISSA, MARIE | CHIEF COMPLIANCE OFFICER | Na | yes | 08/2023 | Aug 28, 2023 | May 1, 2024 |
| LLOYD, ERIC, JAMES | President | Na | yes | 11/2021 | Nov 5, 2021 | May 1, 2024 |
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | SHAREHOLDER OF MASSMUTUAL HOLDING LLC | E | yes | 07/2004 | Mar 30, 2012 | May 1, 2024 |
| MASSMUTUAL HOLDING LLC | SOLE MEMBER OF MM ASSET MANAGEMENT HOLDING LLC | E | yes | 02/2012 | Mar 30, 2012 | May 1, 2024 |
| MERRITT, SEARS, ANDREW | Director | Na | yes | 03/2020 | Jun 24, 2020 | May 1, 2024 |
| MM ASSET MANAGEMENT HOLDING LLC | DIRECT OWNER | E | yes | 02/2012 | Mar 30, 2012 | May 1, 2024 |
| MM ASSET MANAGEMENT HOLDING LLC | SOLE MEMBER OF BARINGS LLC | E | yes | 06/1995 | Mar 30, 2012 | May 1, 2024 |
| O'CONNOR, MICHAEL, JAMES | DIRECTOR, AUDIT COMMITTEE | Na | yes | 03/2020 | Jun 24, 2020 | May 1, 2024 |
| Partlan, Eric, William | Director | Na | yes | 05/2023 | May 25, 2023 | May 1, 2024 |
| WILLIAMS, RHIAN, CATRIN | Secretary | Na | yes | 05/2022 | Mar 31, 2023 | May 1, 2024 |
| HUNTER, MEREDITH, ANNE | ASSISTANT SECRETARY | Na | no | 11/2023 | Nov 2, 2023 | May 1, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| JEFFERIES FINANCE LLC | n/a | Asset manager | $25B | N | yes | n/a |
| BARING INTERNATIONAL INVESTMENT LTD | n/a | Institutional manager | $23B | Y | yes | n/a |
| BARING ASSET MANAGEMENT (ASIA) LIMITED | n/a | Former SEC adviser | $5.6B | Y | 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 |
| BARING ASSET MANAGEMENT SWITZERLAND SARL | n/a | n/a | n/a | Y | yes | n/a |
| BARING FUND MANAGERS LIMITED | n/a | n/a | n/a | Y | yes | n/a |
| BARING INTERNATIONAL FUND MANAGERS (IRELAND) LIMITED | n/a | n/a | n/a | Y | yes | n/a |
| BARING SICE (TAIWAN) LIMITED | n/a | n/a | n/a | Y | yes | n/a |
| BARINGS (U.K.) LIMITED | n/a | n/a | n/a | Y | yes | n/a |
| BARINGS AUSTRALIA ASSET MANAGEMENT PTY LTD | n/a | n/a | n/a | Y | yes | n/a |
| BARINGS AUSTRALIA PROPERTY PTY LTD | n/a | n/a | n/a | Y | yes | n/a |
| BARINGS AUSTRALIA PTY LTD | n/a | n/a | n/a | Y | yes | n/a |
| BARINGS INVESTMENT MANAGEMENT (SHANGHAI) LIMITED | n/a | n/a | n/a | Y | yes | n/a |
| BARINGS JAPAN LIMITED | n/a | n/a | n/a | Y | yes | n/a |
| BARINGS OVERSEAS INVESTMENT FUND MANAGEMENT (SHANGHAI) LIMITED | n/a | n/a | n/a | Y | yes | n/a |
| BARINGS REAL ESTATE ADVISERS INC. | n/a | n/a | n/a | Y | yes | n/a |
| BARINGS SECURITIES LLC | n/a | n/a | n/a | Y | yes | n/a |
| BARINGS SINGAPORE PTE. LTD | n/a | n/a | n/a | Y | yes | n/a |
| C.M. LIFE INSURANCE COMPANY | n/a | n/a | n/a | N | yes | n/a |
| GRYPHON CAPITAL INVESTMENTS PTY LTD | n/a | n/a | n/a | Y | yes | n/a |
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | n/a | n/a | n/a | Y | yes | n/a |
| MASSMUTUAL TRUST COMPANY, FSB | n/a | n/a | n/a | N | yes | n/a |
| MML BAY STATE LIFE INSURANCE COMPANY | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| NEW YORK | NY | United States | 35 | yes |
| Chicago | IL | United States | 28 | no |
| EL SEGUNDO | CA | United States | 19 | no |
| Boston | Ma | United States | 13 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 30, 2026 | $393B | $381B | 1,101 | 465 | 10 | 91 | n/a |
| 2024 | Mar 31, 2025 | $345B | $333B | 1,056 | 419 | 5 | 76 | n/a |
| 2023 | Mar 26, 2024 | $308B | $296B | 985 | 392 | 4 | 64 | $22B |
| 2022 | Mar 31, 2023 | $273B | $270B | 1,029 | 420 | 4 | 56 | $20B |
| 2021 | Mar 30, 2022 | $307B | $2.0B | 1,019 | 439 | 6 | 58 | $19B |
| 2020 | Mar 30, 2021 | $277B | $276B | 997 | 439 | 6 | 53 | $16B |
| 2019 | Mar 30, 2020 | $276B | $268B | 1,093 | 439 | 13 | 52 | $15B |
| 2018 | Mar 29, 2019 | $247B | $239B | 1,191 | 538 | 14 | 47 | $13B |
| 2017 | Mar 29, 2018 | $241B | $232B | 995 | 416 | 17 | 55 | $14B |
| 2016 | Mar 31, 2017 | $220B | $212B | 936 | 404 | n/a | 64 | $16B |
| 2015 | Mar 30, 2016 | $159B | $154B | 639 | 279 | n/a | 58 | $11B |
| 2014 | Mar 31, 2015 | $156B | $152B | 622 | 253 | n/a | 52 | $11B |
| 2013 | Mar 31, 2014 | $143B | $139B | 560 | 208 | n/a | 59 | $13B |
| 2012 | Apr 1, 2013 | $117B | $113B | 520 | 201 | n/a | 66 | $15B |
| 2011 | Mar 30, 2012 | $101B | $98B | n/a | n/a | n/a | 74 | $17B |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $393B | $345B | 13.8% | $273B | 12.9% | 1,101 | 1,056 | 10 | 5 |