NEUBERGER BERMAN BD LLC
Latest filing: Mar 28, 2024 (216 days ago)
AUM
$0
0% change vs. 1 year ago
0% change vs. 3 years ago
0% change vs. 5 years ago
-100% change vs. 10 years ago
Employee Count
1,094
12% change vs. 1 year ago
18% change vs. 3 years ago
22% change vs. 5 years ago
95% change vs. 10 years ago
Main Office
NEW YORK, NY
1290 AVENUE OF THE AMERICAS, NEW YORK, NY, UNITED STATES, 10104
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.0 |
| Non-Discretionary | $0.0 |
| Total | $0.0 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.0 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.0 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 0% | $0.0 |
| Other | 0% | $0.0 |
| Total | 0% | $0.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| NEUBERGER BERMAN INVESTMENT ADVISERS LLC | $337.3 | 124687 | |
| NB ALTERNATIVES ADVISERS LLC | $118.0 | 149822 | |
| NEUBERGER BERMAN EUROPE LIMITED | $79.4 | 162267 | |
| NEUBERGER BERMAN SINGAPORE PTE. LIMITED | $28.4 | 167947 | |
| NEUBERGER BERMAN CANADA ULC | $11.2 | 284803 | |
| NEUBERGER BERMAN LOAN ADVISERS II LLC | $9.3 | 306601 | |
| NEUBERGER BERMAN LOAN ADVISERS LLC | $6.4 | 285579 | |
| NEUBERGER BERMAN ASIA LIMITED | $6.2 | 154286 | |
| NEUBERGER BERMAN LOAN ADVISERS IV LLC | $0.9 | 324282 | |
| NEUBERGER BERMAN AIFM SARL | $0.0 | 300813 | |
| NEUBERGER BERMAN ASSET MANAGEMENT IRELAND LIMITED | $0.0 | 300727 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
8 active
| Name | Title |
|---|---|
| CETRON, BRAD ELLIOT | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR |
| AMATO, JOSEPH VINCENT | PRESIDENT, CHIEF EXECUTIVE OFFICER |
| HENTON, LORIN FRED | SENIOR VICE PRESIDENT, BRANCH OFFICE MANAGER, TEXAS |
| CHINNI, MICHAEL | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER |
ADVDB.CO • SOURCE: SEC
Representatives
838 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| MINDY SCHWARTZAPFEL | NEW YORK | NY | S63|2001-11-30|S65|2013-08-15 | ||||||
| JAMES GARTLAND | NEW YORK | NY | S63|2004-08-09|S65|2013-07-15 | ||||||
| BRIAN TALBOT | NEW YORK | NY | S63|1991-02-14|S66|2012-05-24 | ||||||
| JENNA GABRIEL | NEW YORK | NY | S66|2010-05-17 | ||||||
| ALESSANDRA ESPOSITO | NEW YORK | NY | S66|2023-02-21 | ||||||
| TUSHAR DABRAL | NEW YORK | NY | S66|2023-02-14 | ||||||
| CHRISTOPHER THOMAS | NEW YORK | NY | S63|1998-01-09|S66|2023-12-21 | ||||||
| NICHOLAS CIANCIARUSO | NEW YORK | NY | S66|2020-10-23 | ||||||
| HANNAH DAVIDSON | NEW YORK | NY | S66|2022-07-01 | ||||||
| EDWARD JAMES | NEW YORK | NY | S66|2018-06-07 | ||||||
| MONICA JUWITA | NEW YORK | NY | S66|2023-10-11 | ||||||
| PATRICK QUINLIVAN | NEW YORK | NY | S63|2012-08-20|S65|2015-04-03 | ||||||
| JASON GREENSTEIN | NEW YORK | NY | S66|2020-12-04 | ||||||
| YOLANDA TUROCY | NEW YORK | NY | S63|1981-05-11 | ||||||
| BRENDAN HOGAN | NEW YORK | NY | S66|2017-01-31 | ||||||
| WILLIAM RYKOWSKI | NEW YORK | NY | S63|2014-09-06|S65|2019-04-19 | ||||||
| JONATHAN FREEDMAN | NEW YORK | NY | S63|2019-05-01 | CHARTERED FINANCIAL ANALYST | |||||
| WILLIAM PROCTOR | NEW YORK | NY | S66|2013-08-14 | ||||||
| BRETT BUCHALTER | NEW YORK | NY | S66|2011-09-15 | ||||||
| MATTHEW LAQUIDARA | NEW YORK | NY | S66|2020-10-22 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $0.0 | $0.0 | 0% | 1,094 | 0 | 0% |
| 2024-04-02 | $0.0 | $0.0 | 0% | 1,094 | 0 | 0% |
| 2023-04-04 | $0.0 | $0.0 | 0% | 973 | 121 | 12% |
| 2022-04-01 | $0.0 | $0.0 | 0% | 914 | 180 | 20% |
| 2021-04-05 | $0.0 | $0.0 | 0% | 924 | 170 | 18% |
| 2020-04-01 | $0.0 | $0.0 | 0% | 840 | 254 | 30% |
| 2019-04-01 | $0.0 | $0.0 | 0% | 894 | 200 | 22% |
| 2018-04-02 | $0.0 | $0.0 | 0% | 888 | 206 | 23% |
| 2017-04-01 | $0.0 | $0.0 | 0% | 932 | 162 | 17% |
| 2016-04-01 | $52.6 | -$52.6 | -100% | 615 | 479 | 78% |
| 2015-04-01 | $122.1 | -$122.1 | -100% | 610 | 484 | 79% |
| 2014-04-01 | $119.5 | -$119.5 | -100% | 560 | 534 | 95% |
| 2013-04-01 | $95.4 | -$95.4 | -100% | 550 | 544 | 99% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| NY, AK-02/24/1993, AL-03/01/1991, AR-11/01/1996, CA-07/08/1997, CO-10/05/2020, CT-08/27/1997, DC-12/01/1993, DE-05/16/2003, FL-08/01/1986, GA-06/08/1998, HI-11/01/1996, IA-01/01/1999, ID-03/09/1987, IL-12/06/1979, IN-02/05/2001, KS-09/02/1997, KY-07/30/1982, LA-10/12/2001, MD-10/01/1990, ME-01/01/1998, MI-11/05/1999, MN-11/25/1986, MO-10/08/1986, MS-11/29/2000, MT-11/23/1997, NC-01/22/2001, ND-03/15/1995, NE-08/27/1997, NH-11/07/1986, NJ-12/07/1960, NM-05/01/1979, NV-11/26/1990, NY-01/03/1974, OH-04/14/1999, OK-12/31/2000, OR-01/22/2001, PA-10/27/1981, PR-04/02/2001, RI-01/01/1993, SC-09/23/2003, SD-02/08/1993, TN-09/10/1997, TX-11/01/1996, UT-03/25/1992, VA-09/04/1987, VI-04/21/2005, VT-10/27/1994, WA-11/12/1985, WI-09/05/1997, WV-02/09/1987 |
| ADVISER ACTIVITIES |
|
MANAGER SELECTION |
| OTHER ACTIVITIES |
|
BROKER DEALER COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV