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Barings: investment adviser

Baring Asset Management Limited, doing business as Barings, is an investment adviser registered with the SEC (file 802-114253, CRD 299118). What it reports on Form ADV: assets and clients, fees, owners, disciplinary history and its client brochure. From the SEC's Investment Adviser Public Disclosure site; read Oct 21, 2026.

Assets managed
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Discretionary
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Accounts
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Employees
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In advisory roles
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Disclosures
4

Company page · SEC adviser record · Full Form ADV (PDF)

The firm reports no custody of client cash or securities.

Form ADV Part 1A, Item 5, as filed on the SEC Investment Adviser Public Disclosure site; read Oct 21, 2026.

Who owns it

Schedule A lists direct owners of 5% or more (and officers who own a stake); Schedule B lists the owners of those owners.

Indirect owners (Schedule B)

OwnerOwns a stake inTypeStakeControlPublic company
Barings Europe LimitedBarings Guernsey Limited ShareholderCompany (outside the U.S.)E 75% or moreYes
Barings Guernsey LimitedBarings Europe Limited ShareholderCompany (outside the U.S.)E 75% or moreYes
Barings LLCBarings Guernsey Limited ShareholderCompany (U.S.)E 75% or moreYes
Massachusetts Mutual LifeMassmutualCompany (U.S.)E 75% or moreYes
Massmutual Holding LLCMM Asset Management Holding LLCCompany (U.S.)E 75% or moreYes
MM Asset Management Holding LLCBarings LLCCompany (U.S.)E 75% or moreYes

Form ADV reports ownership in bands, not exact stakes: A means 5% to 10%, B 10% to 25%, C 25% to 50%, D 50% to 75%, E 75% or more. F marks a general partner, trustee or managing member, a role that controls the firm without a percentage. Owners of less than 5% are not listed.

Form ADV Schedules A and B, via the SEC Investment Adviser Public Disclosure site.

Disciplinary history

What the firm disclosed under Item 11 of Form ADV. A disclosure is the firm's own report: pending matters are allegations, not findings, and many settlements are made without admitting or denying them. Text is quoted from the filing, set in sentence case.

Item 11 questions answered Yes

These questions cover the firm and its advisory affiliates.

  • Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?
  • Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?

Disclosures filed elsewhere

The firm's Form ADV names these and the kind of action only; the details are on the named firm's own filing.

  • 4 regulatory action disclosures about the firm

Form ADV Item 11 and its Disclosure Reporting Pages, via the SEC record. All adviser disciplinary records.

The brochure

No brochure text was read for this firm.

Form ADV Part 2A, via the SEC Investment Adviser Public Disclosure site.