BARING ASSET MANAGEMENT LLC
CRD #105426 SEC #801-4611 BOSTON, MA 617-946-5200
SEC Registered Private Funds
Total AUM
$6.4B
Discretionary
$6.4B
Employees
11
Clients
--
Accounts
20
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Massachusetts
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 30, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BARRY, DANIEL, PATRICK | I | VICE PRESIDENT, ASST. GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | Control |
| BRENNAN, DAVID, J | I | CHAIRMAN | NA | Control |
| BRENNAN, DAVID, J | I | CHAIRMAN | NA | Control |
| BRENNAN, DAVID, J | I | CHAIRMAN | NA | Control |
| BRENNAN, DAVID, J | I | CHAIRMAN | NA | Control |
| BRENNAN, DAVID, J | I | CHAIRMAN | NA | Control |
| BRENNAN, DAVID, J | I | CHAIRMAN | NA | Control |
| BRENNAN, DAVID, J | I | CHAIRMAN | NA | Control |
| BRENNAN, DAVID, J | I | CHAIRMAN | NA | Control |
| BRENNAN, DAVID, J | I | CHAIRMAN | NA | Control |
| BRENNAN, DAVID, J | I | CHAIRMAN | NA | Control |
| BROWN, MICHAEL, THOMAS | I | PRESIDENT, DIRECTOR, CLO | NA | Control |
| BROWN, MICHAEL, THOMAS | I | PRESIDENT, DIRECTOR | NA | Control |
| BROWN, MICHAEL, THOMAS | I | PRESIDENT, DIRECTOR | NA | Control |
| BROWN, MICHAEL, THOMAS | I | GENERAL COUNSEL, CCO, SVP | NA | Control |
| BROWN, MICHAEL, THOMAS | I | PRESIDENT, MANAGER | NA | Control |
| BROWN, MICHAEL, THOMAS | I | PRESIDENT, DIRECTOR | NA | Control |
| BROWN, MICHAEL, THOMAS | I | PRESIDENT, DIRECTOR, CLO | NA | Control |
| BROWN, MICHAEL, THOMAS | I | PRESIDENT, DIRECTOR | NA | Control |
| BROWN, MICHAEL, THOMAS | I | GENERAL COUNSEL, CCO, SVP | NA | Control |
| BROWN, MICHAEL, THOMAS | I | PRESIDENT, MANAGER | NA | Control |
| CECERE, ROBERT, MICHAEL | I | DIRECTOR, COO | NA | Control |
| CECERE, ROBERT, MICHAEL | I | DIRECTOR, COO | NA | Control |
| CECERE, ROBERT, MICHAEL | I | DIRECTOR, COO | NA | Control |
| CECERE, ROBERT, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CECERE, ROBERT, MICHAEL | I | MANAGER, COO | NA | Control |
| CECERE, ROBERT, MICHAEL | I | DIRECTOR, COO | NA | Control |
| CECERE, ROBERT, MICHAEL | I | DIRECTOR, COO | NA | Control |
| CECERE, ROBERT, MICHAEL | I | DIRECTOR, COO | NA | Control |
| CECERE, ROBERT, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CECERE, ROBERT, MICHAEL | I | MANAGER, COO | NA | Control |
| DOUGLAS, BARCLAY, LEOPOLD | I | DIR./SVP/HD OF SALES | NA | Control |
| DOUGLAS, BARCLAY, LEOPOLD | I | DIR./SVP/HD OF SALES | NA | Control |
| DOUGLAS, BARCLAY, LEOPOLD | I | DIR./SVP/HD OF SALES | NA | Control |
| DOUGLAS, BARCLAY, LEOPOLD | I | DIR./SVP/HD OF SALES | NA | Control |
| GALLAGHER, DAVID | I | SVP, HEAD OF SALES | NA | |
| GALLAGHER, DAVID | I | SVP, HEAD OF SALES | NA | |
| GYRA, PAUL, DAMIEN | I | CEO/COO/DIRECTOR | NA | Control |
| GYRA, PAUL, DAMIEN | I | CEO/COO/DIRECTOR | NA | Control |
| MILLER, CHRISTOPHER, HAYES | I | DIRECTOR | NA | Control |
| MILLER, CHRISTOPHER, HAYES | I | SVP, HEAD OF GLOBAL EQUITY | NA | Control |
| MILLER, CHRISTOPHER, HAYES | I | DIRECTOR | NA | Control |
| MILLER, CHRISTOPHER, HAYES | I | DIRECTOR | NA | Control |
| MILLER, CHRISTOPHER, HAYES | I | SVP, HEAD OF GLOBAL EQUITY | NA | Control |
| MILLER, CHRISTOPHER, HAYES | I | DIRECTOR | NA | Control |
| RAHMAN, GHULAM, SAMDANI | I | SVP, HEAD OF U.S. EQUITY | NA | Control |
| RAHMAN, GHULAM, SAMDANI | I | SVP, HEAD OF U.S. EQUITY | NA | Control |
| RAHMAN, GHULAM, SAMDANI | I | SVP, HEAD OF U.S. EQUITY | NA | Control |
| SOLOMON, VIRGINIA, BASKETT | I | SVP, HEAD OF MARKETING | NA | Control |
| SOLOMON, VIRGINIA, BASKETT | I | SVP, HEAD OF MARKETING | NA | Control |
| THELEN, TRACI, AUDRA | I | VP, ASSISTANT GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | |
| THELEN, TRACI, AUDRA | I | VP, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | |
| THELEN, TRACI, AUDRA | I | VP, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | |
| THELEN, TRACI, AUDRA | I | VP, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | |
| THELEN, TRACI, AUDRA | I | VP, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | |
| THELEN, TRACI, AUDRA | I | VP, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | |
| THELEN, TRACI, AUDRA | I | VP, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | |
| THOMAS, WILLIAM, HENRY | I | DIRECTOR | NA | Control |
| THOMAS, WILLIAM, HENRY | I | DIRECTOR | NA | Control |
| THOMAS, WILLIAM, HENRY | I | DIRECTOR | NA | Control |
| WEBER, MARK, DONALD | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| WEBER, MARK, DONALD | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| BARING ASSET MANAGEMENT HOLDINGS, INC. | DE | SHAREHOLDER 1: SHAREHOLDER OF APPLICANT | E | Control |
| BARING ASSET MANAGEMENT HOLDINGS, INC. | DE | SHAREHOLDER 1: SHAREHOLDER OF APPLICANT | E | Control |
| BARING ASSET MANAGEMENT HOLDINGS, INC. | DE | SHAREHOLDER 1: SHAREHOLDER OF APPLICANT | E | Control |
| BARING ASSET MGMT. HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| BARING ASSET MGMT. HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| BARING ASSET MGMT. HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| BARING ASSET MGMT. HOLDINGS LTD. | FE | SHAREHOLDER OF 3 | E | Control |
| BARING ASSET MGMT. HOLDINGS LTD. | FE | SHAREHOLDER OF 3 | E | Control |
| BARING ASSET MGMT. HOLDINGS LTD. | FE | SHAREHOLDER OF 3 | E | Control |
| BARING ASSET MGMT. LTD. | FE | SHAREHOLDER OF 2 | E | Control |
| BARING ASSET MGMT. LTD. | FE | SHAREHOLDER OF 2 | E | Control |
| BARING ASSET MGMT. LTD. | FE | SHAREHOLDER OF 2 | E | Control |
| BARING INTN'L INVESTMENT MGMT. HLDGS. LTD | FE | SHAREHOLDER OF 1 | E | Control |
| BARING INTN'L INVESTMENT MGMT. HLDGS. LTD | FE | SHAREHOLDER OF 1 | E | Control |
| BARING INTN'L INVESTMENT MGMT. HLDGS. LTD | FE | SHAREHOLDER OF 1 | E | Control |
| ING BANK NV | FE | SHAREHOLDER OF 6 | E | Control |
| ING BANK NV | FE | SHAREHOLDER OF 7 | E | Control |
| ING BANK NV | FE | SHAREHOLDER OF 6 | E | Control |
| ING BARING HOLDING NEDERLAND BV | FE | SHAREHOLDER OF 5 | E | Control |
| ING BARING HOLDING NEDERLAND BV | FE | SHAREHOLDER OF 6 | E | Control |
| ING BARING HOLDING NEDERLAND BV | FE | SHAREHOLDER OF 5 | E | Control |
| ING BARING HOLDINGS LTD. | FE | SHAREHOLDER OF 4 | E | Control |
| ING BARING HOLDINGS LTD. | FE | SHAREHOLDER OF 4 | E | Control |
| ING GROUP NV | FE | SHAREHOLDER OF 7 | E | Control |
| ING GROUP NV | FE | SHAREHOLDER OF 8 | E | Control |
| ING GROUP NV | FE | SHAREHOLDER OF 7 | E | Control |
| ING INTERMEDIATE HOLDINGS LTD. | FE | SHAREHOLDER OF 4 | E | Control |
| ING UK HOLDINGS LIMITED | FE | SHAREHOLDER OF 5 | E | Control |
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER 4: SHAREHOLDER OF SHAREHOLDER 3 | E | Control |
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER 4: SHAREHOLDER OF SHAREHOLDER 3 | E | Control |
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER 4: SHAREHOLDER OF SHAREHOLDER 3 | E | Control |
| MASSMUTUAL BARING HOLDING LLC | DE | SHAREHOLDER 2: SHAREHOLDER OF SHAREHOLDER 1 | E | Control |
| MASSMUTUAL BARING HOLDING LLC | DE | SHAREHOLDER 2: SHAREHOLDER OF SHAREHOLDER 1 | E | Control |
| MASSMUTUAL BARING HOLDING LLC | DE | SHAREHOLDER 1: SHAREHOLDER OF APPLICANT | E | Control |
| MASSMUTUAL BARING HOLDING LLC | DE | SHAREHOLDER 1: SHAREHOLDER OF APPLICANT | E | Control |
| MASSMUTUAL BARING HOLDING LLC | DE | SHAREHOLDER 1: SHAREHOLDER OF APPLICANT | E | Control |
| MASSMUTUAL BARING HOLDING LLC | DE | SHAREHOLDER 2: SHAREHOLDER OF SHAREHOLDER 1 | E | Control |
| MASSMUTUAL BARING HOLDING LLC | DE | SHAREHOLDER 1: SHAREHOLDER OF APPLICANT | E | Control |
| MASSMUTUAL HOLDING LLC | DE | SHAREHOLDER 3: SHAREHOLDER OF SHAREHOLDER 2 | E | Control |
| MASSMUTUAL HOLDING LLC | DE | SHAREHOLDER 3: SHAREHOLDER OF SHAREHOLDER 2 | E | Control |
| MASSMUTUAL HOLDING LLC | DE | SHAREHOLDER 3: SHAREHOLDER OF SHAREHOLDER 2 | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DE | MASSMUTUAL HOLDING LLC | E | Control |
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DE | MASSMUTUAL HOLDING LLC | E | Control |
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DE | MASSMUTUAL HOLDING LLC | E | Control |
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DE | MASSMUTUAL HOLDING LLC | E | Control |
| MASSMUTUAL HOLDING LLC | DE | MASSMUTUAL BARING HOLDING LLC | E | Control |
| MASSMUTUAL HOLDING LLC | DE | MASSMUTUAL BARING HOLDING LLC | E | Control |
| MASSMUTUAL HOLDING LLC | DE | MASSMUTUAL BARING HOLDING LLC | E | Control |
| MASSMUTUAL HOLDING LLC | DE | MM ASSET MANAGEMENT HOLDING LLC | E | Control |
| MM ASSET MANAGEMENT HOLDING LLC | DE | MASSMUTUAL BARING HOLDING LLC | E | Control |
Registrations
Federal
IA
Mar 30, 2012 REGISTERED
Address
INDEPENDENCE WHARF470 ATLANTIC AVENUE
BOSTON, MA 02210-2208
United States
Phone: 617-946-5200