BARINGS (U.K.) LIMITED
Adviser information for BARINGS (U.K.) LIMITED 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 | – |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 802-75339 |
|---|---|
| SEC ERA File Number | 802-75339 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 158277 |
| Legal Entity Identifier | 549300YOPKY16JD5QW47 |
Principal Office
20 OLD BAILEYLONDON
United Kingdom
Monday - Friday, 9:00 - 5:00
Tel: 4402076286000, Fax: None
Websites
www.youtube.com/@barings
www.linkedin.com/company/barings
twitter.com/barings
www.linkedin.com/showcase/barings-global-private-finance
www.barings.com/
www.linkedin.com/showcase/barings-real-estate
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 SARL | 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 | 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 plannersSponsor, GP, manager of pooled investment vehicles |
| BARINGS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorTrust companyInsurance company or agencyReal estate broker or dealerSponsor 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 EURO CLO 2014-1 DAC | Securitized Asset Fund | $370.5M | $0.3M | 2 |
| BARINGS EURO CLO 2014-2 DAC | Securitized Asset Fund | $265.0M | $0.1M | 2 |
| BARINGS EURO CLO 2015-1 DAC | Securitized Asset Fund | $427.3M | $0.1M | 2 |
| BARINGS EURO CLO 2016-1 DAC | Securitized Asset Fund | $6.2M | $0.1M | 2 |
| BARINGS EURO CLO 2017-1 DAC | Securitized Asset Fund | $1.1M | $0.1M | 2 |
| BARINGS EURO CLO 2018-1 DAC | Securitized Asset Fund | $338.4M | $0.1M | 2 |
| BARINGS EURO CLO 2018-2 DAC | Securitized Asset Fund | $370.9M | $0.1M | 2 |
| BARINGS EURO CLO 2018-3 DAC | Securitized Asset Fund | $417.1M | $0.1M | 2 |
| BARINGS EURO CLO 2019-1 DAC | Securitized Asset Fund | $419.4M | $0.1M | 2 |
| BARINGS EURO CLO 2019-2 DAC | Securitized Asset Fund | $419.3M | $0.1M | 2 |
| BARINGS EURO CLO 2020-1 DAC | Securitized Asset Fund | $537.2M | $0.1M | 2 |
| BARINGS EURO CLO 2021-1 DAC | Securitized Asset Fund | $427.1M | $0.1M | 2 |
| BARINGS EURO CLO 2021-2 DAC | Securitized Asset Fund | $425.2M | $0.1M | 2 |
| BARINGS EURO CLO 2021-3 DAC | Securitized Asset Fund | $427.8M | $0.1M | 2 |
| BARINGS EURO CLO 2022-1 DAC | Securitized Asset Fund | $322.9M | $0.1M | 2 |
| BARINGS EURO CLO 2023-1 DAC | Securitized Asset Fund | $434.5M | $0.1M | 2 |
| BARINGS EURO CLO 2023-2 DAC | Securitized Asset Fund | $431.7M | $0.1M | 2 |
| DUCHESS VI CLO BV | Securitized Asset Fund | $0.5M | $0.1M | 1 |
| DUCHESS VII CLO BV | Securitized Asset Fund | $2.4M | $0.1M | 1 |
| MALIN CLO BV | Securitized Asset Fund | $1.7M | $0.1M | 1 |
| ROCKALL CLO BV | Securitized Asset Fund | $0.5M | $0.1M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BARINGS LLC | Domestic Entity | BARINGS GUERNSEY LIMITED | SOLE SHAREHOLDER | 03/2004 | > 75% |
| MASSMUTUAL HOLDING LLC | Domestic Entity | MM ASSET MANAGEMENT HOLDING LLC | SOLE MEMBER | 02/2012 | > 75% |
| MM ASSET MANAGEMENT HOLDING LLC | Domestic Entity | BARINGS LLC | SOLE MEMBER | 02/2012 | > 75% |
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | Domestic Entity | MASSMUTUAL HOLDING LLC | SOLE SHAREHOLDER OF MASSMUTUAL HOLDING LLC | 07/2004 | > 75% |
| BARINGS GUERNSEY LIMITED | Foreign Entity | BARINGS LLC | SOLE MEMBER | 02/2012 | > 75% |
| SUTHERLAND, ALEX, CAMPBELL | Individual | – | DIRECTOR | 05/2018 | < 5% |
| 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% |
| BARINGS EUROPE LIMITED | Foreign Entity | BARINGS GUERNSEY LIMITED | SOLE MEMBER | 01/2022 | > 75% |