Form D · Other Investment Fund
Baring Investment Series, LLC - Baring Global Dynamic Asset Allocation Fund
Boston, MA · CIK 0001497049
Offering snapshot reported Feb 10, 2017 · SEC filing
- Reported sold
- $49.3M Indefinite offering
- Investors reported
- 12 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Jun 22, 2010 As reported in this filing
Fundraising history
Reported soldDates 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.
- Reported sold$41,550,000 → $49,290,000
- Reported investors10 → 12
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Feb 10, 2017 | Amendment | $49,290,000 | $7,740,000vs Feb 10, 2016 | 12 | SEC filing |
| Feb 10, 2016 | Amendment | $41,550,000 | $20,500,000vs Feb 13, 2015 | 10 | SEC filing |
| Feb 13, 2015 | Amendment | $21,050,000 | $750,000vs Feb 19, 2014 | 9 | SEC filing |
| Feb 19, 2014 | Amendment | $20,300,000 | $0vs Feb 26, 2013 | 7 | SEC filing |
| Feb 26, 2013 | Amendment | $20,300,000 | $3,300,000vs Jun 8, 2012 | 7 | SEC filing |
| Jun 8, 2012 | Amendment | $17,000,000 | $0vs Mar 14, 2012 | 6 | SEC filing |
| Mar 14, 2012 | Amendment | $17,000,000 | $12,000,000vs Apr 28, 2011 | 6 | SEC filing |
| Apr 28, 2011 | Amendment | $5,000,000 | $0vs Jul 20, 2010 | 1 | SEC filing |
| Jul 20, 2010 | Initial | $5,000,000 | No comparison | 1 | 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
- 021-145222
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 INVESTMENT SERIES, LLC: BARING GLOBAL DYNAMIC ASSET ALLOCATION FUND
Investment adviser: BARING INTERNATIONAL INVESTMENT LTD
- Gross asset value
- $36M
- Beneficial owners
- 6
- 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
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 805-3578772114
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.
| 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 Cecere | Director, Executive |
| Susan Moore | Director |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Boston, MA, 02210