Form D · Other Investment Fund

BARING ADVISOR SERIES LLC - MULTI-EMPLOYER GLOBAL AGGREGATE DIVERSIFIED PORTFOLIO

Boston, MA · CIK 0001438430

Offering snapshot reported Feb 10, 2017 · SEC filing

Reported sold: $300M
Investors reported: 19
Minimum accepted: $0
First sale: Jun 2, 2008

Fundraising history

Reported sold

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Feb 10, 2017	Amendment	$300,458,929	$0vs Feb 10, 2016	19	SEC filing
Feb 10, 2016	Amendment	$300,458,929	$0vs Feb 13, 2015	19	SEC filing
Feb 13, 2015	Amendment	$300,458,929	$0vs Feb 19, 2014	19	SEC filing
Feb 19, 2014	Amendment	$300,458,929	$0vs Feb 26, 2013	19	SEC filing
Feb 26, 2013	Amendment	$300,458,929	$0vs Mar 14, 2012	19	SEC filing
Mar 14, 2012	Amendment	$300,458,929	$66,000,000vs Mar 15, 2011	19	SEC filing
Mar 15, 2011	Amendment	$234,458,929	$24,000,001vs Mar 16, 2010	16	SEC filing
Mar 16, 2010	Amendment	$210,458,928	No comparison	14	SEC filing
Jun 20, 2008	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.1
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-119477

Source: Form D, filed Feb 10, 2017. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

BARING ADVISOR SERIES, LLC: MULTI-EMPLOYER GLOBAL AGGREGATE DIVERSIFIED PORTFOLIO

Investment adviser: BARING INTERNATIONAL INVESTMENT LTD

Gross asset value: $116M
Beneficial owners: 12
ADV minimum commitment: $2M

Reported in Form ADV on Feb 8, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG LLP BOSTON, Massachusetts, United States

Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No

Marketer BARINGS SECURITIES LLC BOSTON, Massachusetts, United States Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

KPMG LLP
PCAOB 185

BARINGS SECURITIES LLC
CRD 36929 · SEC 8-47589

Filing source

Form ADV 1172808 · Feb 8, 2018 · Schedule D 7.B.(1), fund 805-5140703666

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
Name	Reported role
Managing Member Baring Asset Management, Inc.	Promoter
Managing Member Baring Asset Management Llc	Promoter
Investment Manager Baring International Investment Limited	Promoter
N/A Baring International Investment Limited	Executive
Managing Member Baring North America Llc	Promoter
N/A Baring North America Llc	Executive
David Brennen	Director
Michael T. Brown	Director, Executive
Robert T. Cecere	Director, Executive
Susan Moore	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

470 Atlantic Avenue
Boston, MA, 02210