DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Barings Global Advisers Limited

Former SEC-registered adviserLondon, CRD 158278SEC 801-73074IAPD
Latest filing Mar 29, 2019
First filing on the tape Jan 20, 2012 · 31 filings
RAUM
$24B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
487
141 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$4.5B gross assets
History
31 filings and snapshots on the tape
RAUM$24B as of Mar 29, 2019
Mar 28, 2013$789M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 28, 20130 then
Employees (5.A)487 as of Mar 29, 2019
Mar 28, 201360 then
Private funds5 as of Mar 29, 2019
Mar 28, 20141 then
RAUM -11% over the last fiscal year+27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$550MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-11%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$235M, 3 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$19B79%
  • Insurance companies$4.2B17%
  • Corporations and businesses$534M2.2%
  • Charitable organizations$292M1.2%
  • Investment companies$42.6M0.2%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
44reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$235M for 3 clientsreported
Compensation
% of AUM, fixed, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Barings Global Credit Fund (Lux) Scsp, Sicav-SifOther Private Fund$1.8B6Mar 24, 2016
      Barings Special Situations Credit 2 LPSecuritized Asset Fund$1.4B20Mar 26, 2015
      Danske European Loan Fund IOther Private Fund$649M1Oct 5, 2018
      Barings European Direct Lending 1 SarlOther Private Fund$372M1Mar 24, 2016
      Barings European Direct Lending 1 LPOther Private Fund$372M1Mar 29, 2019
      Almack Mezzanine III LPOther Private Fund$119M6Mar 29, 2012
      Almack II Unleveraged LPno longer reportedOther Private Fund$28.5M6Mar 29, 2012
      Almack II Unleveraged SaOther Private Fund$21.8M6Mar 29, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • Anthony Christopher Defrancis · Company Secretarycontrol
        since 05/2011 · owns less than 5%
      • Maurice Sheldon Francis · Directorcontrol
        since 05/2011 · owns less than 5%
      • Louis Patrick Hoefling · Directorcontrol
        since 06/2015 · owns less than 5%
      • T Julian Swayne · Chief Executive Officercontrol
        since 09/2017 · owns less than 5%
      • Louise Emma Browning · Chief Compliance Officer
        since 01/2019 · owns less than 5%
      • Emrys Nicholas Evans · General Counsel
        since 03/2019 · owns less than 5%
      • Alex Sutherland · Chief Finance Officer
        since 05/2018 · owns less than 5%
      • John Paul Thompson · Director
        since 04/2017 · owns less than 5%
      Entity owners
      • Baring Asset Management Limited · Direct Owner And Shareholder
        direct · owns 75% or more
      • Barings Guernsey Limited · Sole Shareholder
        indirect · owns 75% or more of Barings (U.K.) Limited
      • Barings LLC · Sole Shareholder
        indirect · owns 75% or more of Barings Guernsey Limited
      • Massachusetts Mutual Life Insurance Company · Sole Shareholer Of Massmutual Holding LLC
        indirect · owns 75% or more of Massmutual Holding LLC
      • Massmutual Holding LLC · Sole Member
        indirect · owns 75% or more of Mm Asset Management Holding LLC
      • Mm Asset Management Holding LLC · Sole Member
        indirect · owns 75% or more of Barings LLC
      • Baring Asset Management Limited · Sole Shareholder
        indirect · owns 75% or more of Baring Asset Management Limited
      • Barings Europe Limited · Sole Shareholder
        indirect · owns 75% or more of Baring Asset Management Limited
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 46 to 141
        Oct 19, 2018 to Mar 29, 2019
      • Charity clients · unset to 1.0
        Oct 19, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 25 to 32
        Oct 19, 2018 to Mar 29, 2019
      • Assets in custody · unset to 235415591.0
        Oct 19, 2018 to Mar 29, 2019
      • Custody of client assets · false to true
        Oct 19, 2018 to Mar 29, 2019
      • Employees · 128 to 487
        Oct 19, 2018 to Mar 29, 2019
      • Private funds · 6 to 5
        Oct 19, 2018 to Mar 29, 2019
      • Discretionary RAUM · $27B to $24B
        Oct 19, 2018 to Mar 29, 2019
      • Pension RAUM · 373170150.0 to unset
        Oct 19, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $20B to $19B
        Oct 19, 2018 to Mar 29, 2019
      • RAUM · $27B to $24B
        Oct 19, 2018 to Mar 29, 2019
      • Accounts · 6 to 44
        Jan 5, 2018 to Mar 29, 2018
      • Corporate clients · unset to 5.0
        Jan 5, 2018 to Mar 29, 2018
      • Pooled vehicle clients · unset to 25.0
        Jan 5, 2018 to Mar 29, 2018
      • Employees · 119 to 128
        Jan 5, 2018 to Mar 29, 2018
      • Discretionary RAUM · $15B to $27B
        Jan 5, 2018 to Mar 29, 2018
      • Pension RAUM · unset to 373170150.0
        Jan 5, 2018 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 20275133596.0
        Jan 5, 2018 to Mar 29, 2018
      • RAUM · $15B to $27B
        Jan 5, 2018 to Mar 29, 2018
      • Other offices · 1 to 0
        Oct 12, 2017 to Jan 5, 2018
      • Other offices · unset to 1.0
        Sep 12, 2017 to Oct 12, 2017
      • Accounts · 14 to 6
        Dec 6, 2016 to Mar 29, 2017
      • Advisory employees · 39 to 46
        Dec 6, 2016 to Mar 29, 2017
      • Employees · 116 to 119
        Dec 6, 2016 to Mar 29, 2017
      • Discretionary RAUM · $12B to $15B
        Dec 6, 2016 to Mar 29, 2017
      • RAUM · $12B to $15B
        Dec 6, 2016 to Mar 29, 2017
      • Business name · BABSON CAPITAL GLOBAL ADVISORS LIMITED to BARINGS GLOBAL ADVISERS LIMITED
        Sep 19, 2016 to Sep 20, 2016
      • Legal name · BABSON CAPITAL GLOBAL ADVISORS LIMITED to BARINGS GLOBAL ADVISERS LIMITED
        Sep 19, 2016 to Sep 20, 2016
      • Accounts · 10 to 14
        Aug 19, 2015 to Mar 24, 2016
      • Advisory employees · 35 to 39
        Aug 19, 2015 to Mar 24, 2016
      • Employees · 89 to 116
        Aug 19, 2015 to Mar 24, 2016
      • Private funds · 4 to 6
        Aug 19, 2015 to Mar 24, 2016
      • Discretionary RAUM · $6.8B to $12B
        Aug 19, 2015 to Mar 24, 2016
      • RAUM · $6.8B to $12B
        Aug 19, 2015 to Mar 24, 2016
      • Accounts · 15 to 10
        Dec 11, 2014 to Mar 26, 2015
      • Advisory employees · 22 to 35
        Dec 11, 2014 to Mar 26, 2015
      • Employees · 77 to 89
        Dec 11, 2014 to Mar 26, 2015
      • Private funds · 1 to 4
        Dec 11, 2014 to Mar 26, 2015
      • Discretionary RAUM · $5.1B to $6.8B
        Dec 11, 2014 to Mar 26, 2015
      • RAUM · $5.1B to $6.8B
        Dec 11, 2014 to Mar 26, 2015
      Signals
      4 dated events
      • James Peter Clark (General Counsel) no longer on Schedule A of Barings Global Advisers Limited (listed 2018-10-19, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • James Urquhart Colin Frew (Head Of Finance) no longer on Schedule A of Barings Global Advisers Limited (listed 2018-10-19, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Gerald Christopher Biggins (Chief Compliance Officer Of Barings Global Advisers Limited) no longer on Schedule A of Barings Global Advisers Limited (listed 2018-10-19, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Barings Global Advisers Limited reported RAUM $27.2B, up 86% from $14.6B (2018-01-05 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026