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Investment Adviser Firm Summary

BARINGS LLC (CRD# 106006 / SEC# 801-241)
Alternate Names: BABSON CAPITAL MANAGEMENT LLC , BARINGS LLC , DAVID L. BABSON & COMPANY INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 11/01/1940

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 03/22/1994
Alaska 06/17/1994
Arizona 06/28/1994
Arkansas 04/28/1994
California 01/01/1970
Colorado 03/31/2010
Connecticut 01/29/2001
Delaware 07/24/2003
District of Columbia 01/29/2001
Florida 06/15/1996
Georgia 01/29/2001
Hawaii 01/03/1995
Idaho 06/27/1994
Illinois 08/23/1967
Indiana 01/29/2001
Iowa 01/29/2001
Kansas 01/29/2001
Kentucky 01/29/2001
Louisiana 10/20/1993
Maine 01/29/2001
Maryland 06/20/1991
Massachusetts 01/24/2003
Michigan 11/14/1997
Minnesota 01/29/2001
Mississippi 01/29/2001
Missouri 01/29/2001
Montana 01/29/2001
Nebraska 01/29/2001
Nevada 05/26/1994
New Hampshire 01/29/2001
New Jersey 01/29/2001
New Mexico 01/29/2001
New York 12/19/1973
North Carolina 01/29/2001
North Dakota 01/29/2001
Ohio 01/29/2001
Oklahoma 01/29/2001
Oregon 10/19/2001
Pennsylvania 03/24/1942
Rhode Island 01/01/1993
South Carolina 02/15/1994
South Dakota 01/29/2001
Tennessee 01/29/2001
Texas 09/15/1966
Utah 05/05/1992
Vermont 01/29/2001
Virginia 07/16/1991
Washington 08/28/1991
West Virginia 06/01/1994
Wisconsin 05/03/1999

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser