Asset manager · Charlotte, NC
Barings LLC
SEC-registered investment adviser · CRD 106006 · SEC 801-241
At a glance
Barings LLC is an SEC-registered investment adviser based in Charlotte, North Carolina, with $392.8 billion in regulatory assets under management as of its Form ADV filed August 11, 2026. Its largest client group by assets is insurance companies. By Form ADV it is a asset manager, ranked 42nd of 3,218 asset managers and 64th of 17,210 SEC-registered advisers by assets.
Main office 704-805-7200barings.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $393B
- Rank among asset managers
- #42 of 3,218
- Rank among all SEC RIAs
- #64 of 17,210
- Rank in North Carolina
- #3 of 288
- Clients
- 417
- Accounts
- 417
- Discretionary
- 97% of AUM
- Employees
- 1,101
- Advisory staff
- 465
- Offices
- 11
Owners and executives on its Form ADV
- Roger W. CrandallDirector, Human Resource Committee
- Geoffrey CraddockDirector, Audit Committee
- Michael D. FrenoPresident, Chief Executive Officer, Chairman of the Board of Managers, and Director
- Patrick L. HoeflingChief Financial Officer
- Michael J. O'ConnorDirector, Audit Committee
- Sears A. MerrittDirector
- Susan M. CiccoDirector, Human Resource Committee
- Eric J. LloydVice Chairman
- Rhian C. WilliamsSecretary
- Eric W. PartlanDirector
- Melissa M. LagrantChief Compliance Officer
- Meredith A. HunterAssistant Secretary
Custody and brokerage
Broker-dealer
Hybrid RIA
Barings LLC is a hybrid RIA: 77 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Barings Securities LLC.
- Barings Securities LLC ↗CRD 36929
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, May 2026
Its Form ADV brochure (filed May 2026) names Barings Securities as the broker-dealer its advisers are registered with.
Certain employees of Barings and its affiliates are registered representatives of Barings Securities.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Insurance companies | 108 | $286B | 73% |
| Pooled investment vehicles | 210 | $73B | 19% |
| Pension and profit sharing plans | 43 | $13B | 3% |
| Business development companies | 4 | $8.2B | 2% |
| Investment companies | 36 | $7.8B | 2% |
| Banking or thrift institutions | 7 | $2.3B | <1% |
| Corporations or other businesses | 9 | $1.9B | <1% |
Private funds
Barings LLC reports 91 private funds with $30B in gross assets: hedge funds, private equity funds, real estate funds, securitized asset funds, other private funds (Form ADV Item 7.B).
Disciplinary disclosures
Barings LLC answers yes to 8 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗barings.com ↗
AtlasMembers
The full record on Barings LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 91 peers of its type and size
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- Owners and executives, with titles and stakes
- 18 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 6Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Barings LLC manage?
Barings LLC reports $392.8 billion in regulatory assets under management across 417 accounts, 97% of it on a discretionary basis, on its Form ADV filed August 11, 2026.
What kind of firm is Barings LLC?
Barings LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals. It reports a bank or thrift among its related persons.
Who are Barings LLC’s clients?
By assets, its largest client types are insurance companies ($286.4 billion, 108 clients); pooled investment vehicles ($73.1 billion, 210 clients); pension and profit sharing plans ($13.0 billion, 43 clients).
Does Barings LLC manage private funds?
Yes. It reports 91 private funds with $30.2 billion in gross assets, including hedge funds, private equity funds, real estate funds, securitized asset funds, other private funds.
Does Barings LLC have any disciplinary history?
Barings LLC answers yes to 8 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Barings LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-11), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →