Form D · Other Investment Fund
Baring Investment Series, LLC - Barings International Small Cap Equity Fund
Charlotte, NC · CIK 0001666488
Offering snapshot reported Jul 2, 2025 · SEC filing
- Reported sold
- $392M Indefinite offering
- Investors reported
- 25 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Feb 1, 2016 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.
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 |
|---|---|---|---|---|---|
| Jul 2, 2025 | Amendment | $391,600,409 | $0vs Jul 3, 2024 | 25 | SEC filing |
| Jul 3, 2024 | Amendment | $391,600,409 | $0vs Jul 7, 2023 | 25 | SEC filing |
| Jul 7, 2023 | Amendment | $391,600,409 | $10,275,000vs Jul 7, 2022 | 25 | SEC filing |
| Jul 7, 2022 | Amendment | $381,325,409 | $124,228,944vs Feb 12, 2020 | 25 | SEC filing |
| Feb 12, 2020 | Amendment | $257,096,465 | $84,850,000vs Feb 12, 2019 | 22 | SEC filing |
| Feb 12, 2019 | Amendment | $172,246,465 | $143,246,465vs Feb 9, 2018 | 13 | SEC filing |
| Feb 9, 2018 | Amendment | $29,000,000 | $8,500,000vs Feb 10, 2017 | 5 | SEC filing |
| Feb 10, 2017 | Amendment | $20,500,000 | $5,500,000vs Feb 12, 2016 | 3 | SEC filing |
| Feb 12, 2016 | Initial | $15,000,000 | No comparison | 1 | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06b, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-257392
Source: Form D, filed Jul 2, 2025. 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 - BARINGS INTERNATIONAL SMALL CAP EQUITY FUND (WITH EMERGING MARKETS)
Investment adviser: BARING INTERNATIONAL INVESTMENT LTD
- Gross asset value
- $155M
- Beneficial owners
- 14
- ADV minimum commitment
- $5M
Reported in Form ADV on Sep 5, 2019. 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
THE NORTHERN TRUST COMPANY
LEI 6PTKHDJ8HDUF78PFWH30
BARINGS SECURITIES LLC
CRD 36929 · SEC 8-47589
Filing source
Form ADV 1344073 · Sep 5, 2019 · Schedule D 7.B.(1), fund 805-7743257327
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 |
|---|---|
| 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 |
| N/A Barings Llc | Executive |
| Managing Member Barings Llc | Promoter |
| David Brennen | Director |
| Michael Brown | Director, Executive |
| Robert Cecere | Director, Executive |
| Jill Dinerman | Director, Executive |
| Luke Foster | Director, Executive |
| Michele Kunitz | Director |
| Susan Moore | Director |
| Traci A. Thelen | Director, Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Charlotte, NC, 28202