BARINGS
BARING ASSET MANAGEMENT LIMITED Legal Name
Adviser information for BARINGS last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | United Kingdom |
Employees
| Total Number of Employees | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | – |
|---|---|
| Compensation | – |
Principal Office
20 OLD BAILEYLONDON
United Kingdom
Monday - Friday, 9:00 - 5:00
Tel: 0044 0207 76286000, Fax: None
Websites
www.barings.com
www.linkedin.com/company/barings
www.linkedin.com/showcase/barings-real-estate
www.youtube.com/@barings
www.twitter.com/barings
www.linkedin.com/showcase/barings-global-private-finance
podcasts.apple.com/ug/podcast/streaming-income-a-podcast-from-barings/id1449496233
open.spotify.com/show/7wv1gjcqhcggxddmhbhrly
podcast.barings.com/public/75/streaming-income---a-podcast-from-barings-6f727a82
Chief Compliance Officer
NICHOLAS EVANS
HEAD OF COMPLIANCE / CHIEF COMPLIANCE OFFICER
20 OLD BAILEY
LONDON
United Kingdom
Tel:
442072141709
N*************@**********M
(Full email address available in API data)
Industry Affiliates
| BARING ASSET MANAGEMENT (ASIA) LIMITED | Other investment adviser, including financial planners |
| BARING ASSET MANAGEMENT (KOREA) LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BARING ASSET MANAGEMENT SWITZERLAND S�RL | Banking or thrift institution |
| BARING FUND MANAGERS LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| BARING INTERNATIONAL FUND MANAGERS (IRELAND) LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BARING INTERNATIONAL INVESTMENT LTD | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| BARING SICE (TAIWAN) LIMITED | Other investment adviser, including financial plannersSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| BARINGS (U.K.) LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| BARINGS AUSTRALIA ASSET MANAGEMENT PTY LTD | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BARINGS AUSTRALIA PROPERTY PTY LTD | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BARINGS AUSTRALIA PTY LTD | Other investment adviser, including financial planners |
| BARINGS INVESTMENT MANAGEMENT (SHANGHAI) LIMITED | Other investment adviser, including financial plannersSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| BARINGS JAPAN LIMITED | Other investment adviser, including financial planners |
| BARINGS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| BARINGS OVERSEAS INVESTMENT FUND MANAGEMENT (SHANGHAI) LIMITED | Other investment adviser, including financial plannersSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| BARINGS REAL ESTATE ADVISERS INC. | Real estate broker or dealer |
| BARINGS SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| BARINGS SINGAPORE PTE. LTD | Other investment adviser, including financial planners |
| C.M. LIFE INSURANCE COMPANY | Commodity pool operator or commodity trading advisorInsurance company or agency |
| GRYPHON CAPITAL INVESTMENTS PTY LTD | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| JEFFERIES FINANCE LLC | Other investment adviser, including financial plannersSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | Commodity pool operator or commodity trading advisorInsurance company or agency |
| MASSMUTUAL TRUST COMPANY, FSB | Banking or thrift institutionTrust company |
| MML BAY STATE LIFE INSURANCE COMPANY | Commodity pool operator or commodity trading advisorInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| BARINGS INVESTMENT UMBRELLA FUND | COLLECTIVE INVESTMENT | $154.8M | $0.0M | 111 |
| DANSKE EUROPEAN LOAN FUND I | PRIVATE SEGREGATED FUND | $353.3M | $0.1M | 1 |
| DOVER CREDIT LIMITED | PRIVATE SEGREGATED FUND | $230.2M | $0.3M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BARINGS EUROPE LIMITED | Foreign Entity | – | SOLE SHAREHOLDER | 12/2017 | > 75% |
| BARINGS GUERNSEY LIMITED | Foreign Entity | BARINGS EUROPE LIMITED | SOLE SHAREHOLDER | 12/2017 | > 75% |
| BARINGS LLC | Domestic Entity | BARINGS GUERNSEY LIMITED | SOLE SHAREHOLDER | 03/2004 | > 75% |
| MM ASSET MANAGEMENT HOLDING LLC | Domestic Entity | BARINGS LLC | SOLE MEMBER | 02/2012 | > 75% |
| MASSMUTUAL HOLDING LLC | Domestic Entity | MM ASSET MANAGEMENT HOLDING LLC | SOLE MEMBER | 02/2012 | > 75% |
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | Domestic Entity | MASSMUTUAL HOLDING LLC | SOLE MEMBER | 07/2004 | > 75% |
| SUTHERLAND, ALEXANDER, CAMPBELL | Individual | – | DIRECTOR | 05/2018 | < 5% |
| BARINGS EUROPE LIMITED | Foreign Entity | BARINGS GUERNSEY LIMITED | SOLE SHAREHOLDER | 02/2012 | > 75% |
| DINERMAN, JILL, ELYSE | Individual | – | DIRECTOR | 05/2021 | < 5% |
| WILLIAMS, RHIAN, CATRIN | Individual | – | SECRETARY | 05/2022 | < 5% |
| PARKER, NICOLE, DANIELLE | Individual | – | DIRECTOR | 07/2023 | < 5% |
| KEMP, KATHERINE, LOUISE | Individual | – | DIRECTOR | 07/2023 | < 5% |
| HORNE, MARTIN, SCOTT | Individual | – | DIRECTOR | 07/2023 | < 5% |
No. Employees, Historic
Holdings
From latest 13F, filed October 26th, 2017 for period ending September 30th, 2017
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| GDS HOLDINGS LTD | ADR | 9K | 817K | BARING ASSET MANAGEMENT ASIA Ltd |
| MOMO INC. | ADR | 12K | 383K | BARING ASSET MANAGEMENT ASIA Ltd |
| BAIDU INC. | ADR | 20K | 82K | BARING ASSET MANAGEMENT ASIA Ltd |
| NEW ORIENTAL EDUCATION & TECHNOLOGY GROUP INC | ADR | 37K | 414K | BARING ASSET MANAGEMENT ASIA Ltd |
| NETEASE INC | ADR | 37K | 140K | BARING ASSET MANAGEMENT ASIA Ltd |
| JD.COM INC | ADR | 75K | 2M | BARING ASSET MANAGEMENT ASIA Ltd |
| RANDGOLD RESOURCES LTD | ADR | 6K | 58K | – |
| PAMPA ENERGIA SA | ADR | 1K | 20K | – |
| BRF S.A. | ADR | 2K | 155K | – |
| BANCO MACRO SA | ADR | 2K | 19K | – |
| EMPRESA DISTRIBUIDORA Y COMERCIALIZADORA NORTE S.A. | ADR | 4K | 93K | – |
| FOMENTO ECONOMICO MEXICANO, S. A. B. DE C. V. | ADR | 4K | 45K | – |
| CEMEX S.A.B. DE C.V. | ADR | 5K | 536K | – |
| YPF SOCIEDAD ANONIMA | ADR | 6K | 271K | – |
| AMERICA MOVIL S.A.B. DE C.V. | ADR | 6K | 363K | – |
| PETR0LEO BRASILEIRO SA PETRO | ADR | 7K | 724K | – |
| COMPANHIA DE BEBIDAS DAS AMERICAS - AMBEV | ADR | 10K | 1M | – |
| MOBILE TELESYSTEMS PJSC | ADR | 23K | 2M | – |
| TAIWAN SEMICONDUCTOR MANUFACTURING COMPANY, LTD. | ADR | 42K | 1M | Baring International Investment Ltd |
| GERDAU S.A. | ADR | 1K | 408K | – |
| AZUL S.A. | ADR | 4K | 143K | – |
| TELEFONICA BRASIL S.A. | ADR | 5K | 293K | – |
| BANCOLOMBIA S.A | ADR | 6K | 129K | – |
| BANCO BRADESCO S.A. | ADR | 14K | 1M | – |
| PETR0LEO BRASILEIRO SA PETRO | ADR | 17K | 2M | – |
| ITAU UNIBANCO HOLDING S.A. | ADR | 34K | 2M | – |
| ALIBABA GROUP HOLDING LIMITED | ADR | 284K | 2M | 1, 2 |
| WEIBO CORPORATION | ADR | 12K | 121K | BARING ASSET MANAGEMENT ASIA Ltd |
| TAL EDUCATION GROUP | ADR | 53K | 2M | BARING ASSET MANAGEMENT ASIA Ltd |
| SINA CORPORATION | COM | 6K | 52K | BARING ASSET MANAGEMENT ASIA Ltd |
| SYSCO CORP. | COM | 1K | 26K | BARING ASSET MANAGEMENT ASIA Ltd |
| REGAL ENTERTAINMENT GROUP | COM | 413 | 26K | – |
| NEWMONT MINING CORPORATION | COM | 471 | 13K | – |
| CISCO SYSTEMS INC. | COM | 648 | 19K | – |
| MICROSOFT CORP. | COM | 715 | 10K | – |
| COGNIZANT TECHNOLOGY SOLUTIONS CORPORATION | COM | 774 | 11K | – |
| CF INDUSTRIES HOLDINGS, INC. | COM | 1K | 36K | – |
| BUNGE LTD. | COM | 2K | 28K | – |
| ARCHER-DANIELS-MIDLAND COMPANY | COM | 4K | 85K | – |
| MONSANTO CO. | COM | 4K | 34K | – |
| NATIONAL OILWELL VARCO INC. | COM | 8K | 236K | – |
| CHEVRON CORPORATION | COM | 12K | 98K | – |
| DEERE & COMPANY | COM | 12K | 95K | – |
| CABOT OIL & GAS CORPORATION | COM | 18K | 657K | – |
| GOLDCORP INC. | COM | 211 | 16K | – |
| GLOBANT SA | COM | 496 | 12K | – |
| MOSAIC CO., THE | COM | 1K | 63K | – |
| ADECOAGRO SA | COM | 3K | 269K | – |
| CREDICORP LTD | COM | 3K | 16K | – |
| PAN AMERICAN SILVER CORP | COM | 3K | 203K | – |
| FORUM ENERGY TECHNOLOGIES, INC. | COM | 11K | 704K | – |
| POTASH CORP. OF SASKATCHEWAN INC. | COM | 20K | 1M | – |
| AGRIUM INC. | COM | 14K | 133K | Baring International Investment Ltd |
| SUNCOR ENERGY INC. | COM | 39K | 1M | Baring International Investment Ltd |
| BIOMARIN PHARMACEUTICAL INC. | COM | 486 | 5K | Baring International Investment Ltd |
| MOBILEYE NV | COM | 24K | 386K | Baring International Investment Ltd |
| YANDEX N.V. | COM | 41K | 1M | Baring International Investment Ltd |
| BANK OF THE OZARKS, INC. | COM | 1K | 30K | 1, 2 |
| DUKE ENERGY CORP. | COM | 217 | 3K | BARING ASSET MANAGEMENT ASIA Ltd |
| PILGRIM'S PRIDE CORPORATION | COM | 276 | 10K | BARING ASSET MANAGEMENT ASIA Ltd |
| MEDTRONIC PLC | COM | 332 | 4K | BARING ASSET MANAGEMENT ASIA Ltd |
| GRAPHIC PACKAGING HOLDING CO. | COM | 425 | 30K | BARING ASSET MANAGEMENT ASIA Ltd |
| RPM INTERNATIONAL INC. | COM | 432 | 8K | BARING ASSET MANAGEMENT ASIA Ltd |
| KIMBERLY-CLARK CORP. | COM | 462 | 4K | BARING ASSET MANAGEMENT ASIA Ltd |
| EXXONMOBIL CORP. | COM | 488 | 6K | BARING ASSET MANAGEMENT ASIA Ltd |
| TITAN MACHINERY INC. | COM | 503 | 32K | – |
| PFIZER INC. | COM | 572 | 16K | BARING ASSET MANAGEMENT ASIA Ltd |
| ECOLAB INC. | COM | 584 | 5K | BARING ASSET MANAGEMENT ASIA Ltd |
| SANDERSON FARMS INC | COM | 707 | 4K | BARING ASSET MANAGEMENT ASIA Ltd |
| HCA HEALTHCARE INC. | COM | 736 | 9K | BARING ASSET MANAGEMENT ASIA Ltd |
| AMGEN INC. | COM | 825 | 4K | BARING ASSET MANAGEMENT ASIA Ltd |
| CLOROX CO. | COM | 960 | 7K | BARING ASSET MANAGEMENT ASIA Ltd |
| AMPHENOL CORP. | COM | 1K | 13K | BARING ASSET MANAGEMENT ASIA Ltd |
| PRICELINE GROUP INC. (THE) | COM | 1K | 686 | BARING ASSET MANAGEMENT ASIA Ltd |
| QUEST DIAGNOSTICS INC. | COM | 1K | 13K | BARING ASSET MANAGEMENT ASIA Ltd |
| WALT DISNEY COMPANY (THE) | COM | 1K | 13K | BARING ASSET MANAGEMENT ASIA Ltd |
| PG&E CORP. | COM | 1K | 20K | BARING ASSET MANAGEMENT ASIA Ltd |
| PARKER-HANNIFIN CORP. | COM | 1K | 8K | 1, 2 |
| CINEMARK HOLDINGS INC. | COM | 1K | 40K | 1, 2 |
| LABORATORY CORPORATION OF AMERICA HOLDINGS | COM | 1K | 10K | BARING ASSET MANAGEMENT ASIA Ltd |
| CHURCH & DWIGHT COMPANY, INC. | COM | 1K | 31K | BARING ASSET MANAGEMENT ASIA Ltd |
| STARBUCKS CORP. | COM | 1K | 28K | 1, 2 |
| ILLINOIS TOOL WORKS INC. | COM | 2K | 10K | BARING ASSET MANAGEMENT ASIA Ltd |
| WASTE MANAGEMENT, INC. | COM | 2K | 20K | BARING ASSET MANAGEMENT ASIA Ltd |
| ESTEE LAUDER COMPANIES INC. (THE) | COM | 2K | 14K | BARING ASSET MANAGEMENT ASIA Ltd |
| JOHNSON & JOHNSON | COM | 2K | 12K | BARING ASSET MANAGEMENT ASIA Ltd |
| WEST PHARMACEUTICAL SERVICES, INC. | COM | 2K | 16K | BARING ASSET MANAGEMENT ASIA Ltd |
| BROADCOM LTD. | COM | 2K | 7K | 1, 2 |
| ALPHABET INC. | COM | 2K | 2K | BARING ASSET MANAGEMENT ASIA Ltd |
| ARAMARK HOLDINGS CORPORATION | COM | 2K | 39K | BARING ASSET MANAGEMENT ASIA Ltd |
| AIR PRODUCTS AND CHEMICALS INC. | COM | 2K | 11K | BARING ASSET MANAGEMENT ASIA Ltd |
| ELECTRONIC ARTS INC. | COM | 2K | 14K | 1, 2 |
| HERSHEY COMPANY (THE) | COM | 2K | 15K | BARING ASSET MANAGEMENT ASIA Ltd |
| INTUIT INC. | COM | 2K | 11K | BARING ASSET MANAGEMENT ASIA Ltd |
| REPUBLIC SERVICES INC. | COM | 2K | 25K | BARING ASSET MANAGEMENT ASIA Ltd |
| PNC FINANCIAL SERVICES GROUP, INC. | COM | 2K | 12K | 1, 2 |
| MCCORMICK & COMPANY, INCORPORATED | COM | 2K | 16K | BARING ASSET MANAGEMENT ASIA Ltd |
| COSTCO WHOLESALE CORP. | COM | 2K | 10K | BARING ASSET MANAGEMENT ASIA Ltd |
| NORTHERN TRUST CORP. | COM | 2K | 18K | 1, 2 |
| SHERWIN-WILLIAMS COMPANY (THE) | COM | 2K | 5K | BARING ASSET MANAGEMENT ASIA Ltd |
| PROCTER & GAMBLE CO. | COM | 2K | 19K | BARING ASSET MANAGEMENT ASIA Ltd |
| GENUINE PARTS COMPANY | COM | 2K | 18K | BARING ASSET MANAGEMENT ASIA Ltd |
| LOCKHEED MARTIN CORP. | COM | 2K | 6K | 1, 2 |
| GILEAD SCIENCES, INC. | COM | 2K | 23K | 1, 2 |
| MICRON TECHNOLOGY INC. | COM | 2K | 51K | 1, 2 |
| SERVICE CORPORATION INTERNATIONAL | COM | 2K | 61K | 1, 2 |
| INTERNATIONAL FLAVORS & FRAGRANCES, INC. | COM | 2K | 15K | BARING ASSET MANAGEMENT ASIA Ltd |
| CINTAS CORP. | COM | 2K | 15K | BARING ASSET MANAGEMENT ASIA Ltd |
| STRYKER CORP. | COM | 2K | 16K | BARING ASSET MANAGEMENT ASIA Ltd |
| PEPSICO INC. | COM | 2K | 20K | BARING ASSET MANAGEMENT ASIA Ltd |
| HOME DEPOT INC. | COM | 2K | 14K | BARING ASSET MANAGEMENT ASIA Ltd |
| ACTIVISION BLIZZARD, INC. | COM | 2K | 36K | 1, 2 |
| FIRST REPUBLIC BANK | COM | 2K | 22K | 1, 2 |
| INGREDION INCORPORATED | COM | 2K | 19K | BARING ASSET MANAGEMENT ASIA Ltd |
| 3M CO. | COM | 2K | 11K | BARING ASSET MANAGEMENT ASIA Ltd |
| AMAZON.COM, INC. | COM | 3K | 3K | 1, 2 |
| COLGATE-PALMOLIVE CO. | COM | 3K | 37K | BARING ASSET MANAGEMENT ASIA Ltd |
| CVS HEALTH CORPORATION | COM | 3K | 35K | 1, 2 |
| RAYTHEON CO. | COM | 3K | 16K | 1, 2 |
| ZOETIS INC. | COM | 3K | 46K | 1, 2 |
| APPLE INC. | COM | 3K | 19K | 1, 2 |
| NEWELL BRANDS INC. | COM | 3K | 72K | 1, 2 |
| HONEYWELL INTERNATIONAL INC. | COM | 3K | 22K | 1, 2 |
| NIKE INC. | COM | 3K | 63K | 1, 2 |
| FACEBOOK INC | COM | 3K | 19K | 1, 2 |
| ALPHABET INC. | COM | 3K | 3K | 1, 2 |
| FORTUNE BRANDS HOME & SECURITY, INC. | COM | 3K | 50K | 1, 2 |
| A. O. SMITH CORPORATION | COM | 3K | 58K | 1, 2 |
| COOPER COMPANIES, INC. (THE) | COM | 4K | 16K | 1, 2 |
| ELI LILLY & CO. | COM | 4K | 43K | 1, 2 |
| VISA INC. | COM | 4K | 37K | 1, 2 |
| ADOBE SYSTEMS INC. | COM | 4K | 27K | 1, 2 |
| TRINSEO S.A. | COM | 4K | 63K | BARING ASSET MANAGEMENT ASIA Ltd |
| MASTERCARD INCORPORATED | COM | 4K | 32K | 1, 2 |
| UNION PACIFIC CORP. | COM | 5K | 41K | 1, 2 |
| TJX COMPANIES INC. | COM | 5K | 66K | 1, 2 |
| BECTON DICKINSON & CO. | COM | 5K | 28K | 1, 2 |
| JPMORGAN CHASE & CO. | COM | 6K | 65K | 1, 2 |
| RELIANCE STEEL & ALUMINUM CO. | COM | 7K | 86K | 1, 2 |
| PRAXAIR INC. | COM | 11K | 77K | BARING ASSET MANAGEMENT ASIA Ltd |
| EAGLE MATERIALS INC. | COM | 11K | 103K | BARING ASSET MANAGEMENT ASIA Ltd |
| SCHLUMBERGER LTD. | COM | 12K | 171K | 1, 2 |
| AVERY DENNISON CORP. | COM | 13K | 130K | 1, 2 |
| AGCO CORPORATION | COM | 14K | 185K | BARING ASSET MANAGEMENT ASIA Ltd |
| ALBEMARLE CORP. | COM | 16K | 119K | 1, 2 |
| TYSON FOODS INC. | COM | 16K | 232K | – |
| HALLIBURTON CO. | COM | 18K | 399K | 1, 2 |
| EOG RESOURCES INC. | COM | 21K | 213K | 1, 2 |
| YUM CHINA HOLDING, INC. | COM | 22K | 548K | BARING ASSET MANAGEMENT ASIA Ltd |
| INPHI CORPORATION | COM | 218 | 6K | BARING ASSET MANAGEMENT ASIA Ltd |
| PLAINS GP HOLDINGS LP | COM | 224 | 10K | BARING ASSET MANAGEMENT ASIA Ltd |
| PURE STORAGE, INC. | COM | 252 | 16K | BARING ASSET MANAGEMENT ASIA Ltd |
| CYBERARK SOFTWARE LTD | COM | 381 | 9K | BARING ASSET MANAGEMENT ASIA Ltd |
| Q2 HOLDINGS INC | COM | 518 | 12K | BARING ASSET MANAGEMENT ASIA Ltd |
| TRACTOR SUPPLY COMPANY | COM | 1K | 21K | BARING ASSET MANAGEMENT ASIA Ltd |
| CARNIVAL CORP. | COM | 2K | 29K | 1, 2 |
| ACADIA HEALTHCARE COMPANY INC. | COM | 2K | 47K | 1, 2 |
| EPAM SYSTEMS INC | COM | 36K | 406K | 1, 2 |
| ISHARES MSCI EMERGING MARKETS ASIA ETF | ETF | 330 | 5K | Baring International Investment Ltd |
| ISHARES GLOBAL TELECOM ETF | ETF | 335 | 2K | BARING ASSET MANAGEMENT ASIA Ltd |
| ISHARES MSCI INDIA ETF | ETF | 347 | 11K | – |
| SPDR S&P 500 ETF TRUST | ETF | 450 | 2K | BARING ASSET MANAGEMENT ASIA Ltd |
| ISHARES TRUST | ETF | 455 | 7K | BARING ASSET MANAGEMENT ASIA Ltd |
| ISHARES US REGIONAL BANKS ETF | ETF | 542 | 11K | Baring International Investment Ltd |
| ISHARES EUROPE DEVELOPED REAL ESTATE ETF | ETF | 545 | 14K | Baring International Investment Ltd |
| ISHARES MSCI GERMANY ETF | ETF | 615 | 19K | Baring International Investment Ltd |
| ISHARES TRUST - ISHARES EUROPE ETF | ETF | 753 | 16K | BARING ASSET MANAGEMENT ASIA Ltd |
| ISHARES TRUST | ETF | 753 | 24K | BARING ASSET MANAGEMENT ASIA Ltd |
| VANGUARD FTSE EMERGING MARKETS ETF | ETF | 944 | 22K | Baring International Investment Ltd |
| ISHARES MSCI SWEDEN ETF | ETF | 1K | 30K | Baring International Investment Ltd |
| ISHARES TRUST | ETF | 1K | 14K | Baring International Investment Ltd |
| ISHARES TRUST | ETF | 1K | 11K | Baring International Investment Ltd |
| ISHARES INC | ETF | 2K | 40K | Baring International Investment Ltd |
| ISHARES INC | ETF | 2K | 38K | Baring International Investment Ltd |
| ISHARES CORE S&P 500 ETF | ETF | 86K | 341K | – |
| ISHARES MSCI ACWI ETF | ETF | 3K | 40K | – |
| POWERSHARES H/Y EQ DVD ACHIE ETF | ETF | 477 | 28K | – |
| SPDR S P DIVIDEND ETF | ETF | 1K | 16K | – |
| WISDOM TREE US DIVIDEND EX-FINA | DIV EX-FINL FD | 1K | 17K | – |
| iShares MSCI EAFE Index Fund | ETF | 920 | 14K | – |
| iShares Russell 1000 Growth ET | ETF | 87K | 698K | – |
| iShares Russell 2000 Growth ET | ETF | 89K | 497K | – |
| iShares S&P 100 ETF | ETF | 86K | 772K | – |
| iShares Select Dividend ETF | ETF | 1K | 15K | – |