← Tributary

BARINGS LLC

CHARLOTTE, NC · CRD 106006 · IAPD ↗ · 704-805-7200

$392.75BRegulatory AUM
465Advisory reps
1101Employees
3Clients
0Planning clients
91Private funds
51States
8Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
April 2026 — BARINGS LLC added office(s): 5 -> 10 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
85
April 2026 — BARINGS LLC grew from 419 to 465 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
June 2025 — BARINGS LLC's Item 11 disclosure-reporting entries rose by 2 (6 -> 8).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2025 — BARINGS LLC added office(s): 4 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
85
April 2025 — BARINGS LLC grew from 392 to 419 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
April 2024 — BARINGS LLC shrank from 420 to 392 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.