NEUBERGER BERMAN CANADA ULC
Latest filing: Aug 19, 2024 (72 days ago)
AUM
$11,176,653,668
37% change vs. 1 year ago
149% change vs. 3 years ago
205% change vs. 5 years ago
0% change vs. 10 years ago
Employee Count
22
16% change vs. 1 year ago
29% change vs. 3 years ago
16% change vs. 5 years ago
0% change vs. 10 years ago
Main Office
TORONTO, ONTARIO,
181 BAY STREET, TORONTO, ONTARIO, , CANADA, M5J 2V1
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $11.2 |
| Non-Discretionary | $0.0 |
| Total | $11.2 |
| Client | AUM |
|---|---|
| Retail | $1.5 |
| Pooled | $6.6 |
| Institutional | $3.1 |
| Total | $11.2 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 777 | $0.3 |
| Average Individual AUM | $413,252 | |
| HNW | 310 | $1.2 |
| Average HNW AUM | $3,754,989 | |
| Retail Total | 1,087 | $1.5 |
| Average Retail AUM | $1,366,277 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| NATIONAL FINANCIAL SERVICES LLC | BOSTON-MA-USA | $1.5 |
| THE BANK OF NEW YORK MELLON | NEW YORK-NY-USA | $1.1 |
| ROYAL BANK OF CANADA | TORONTO--CAN | $1.0 |
| THE NORTHERN TRUST COMPANY | CHICAGO-IL-USA | $0.6 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $4.5 |
| Retail SMA AUM | $1.5 |
| Institutional SMA AUM | $3.1 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 99% | $4.5 |
| 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 | 1% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $4.5 |
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 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 | |
| NEUBERGER BERMAN BD LLC | $0.0 | broker-dealer | 2908 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
12 active
| Name | Title |
|---|---|
| CARROLL, RAYMOND, BERNARD | DIRECTOR |
| ARNOLD, WILLIAM, ALFRED | CHIEF FINANCIAL OFFICER |
| BELTRAMETTI WALKER, VIVIANA, K R A | CHIEF COMPLIANCE OFFICER |
| ZUCKERMAN, HEATHER, P. | DIRECTOR |
| AMATO, JOSEPH, VINCENT | DIRECTOR |
| KHAN, KHASHIF, REHMAN | CHIEF EXECUTIVE OFFICER |
| DEATON, PATRICK, S | DIRECTOR |
| GIARRAPUTO, BARRY, J | CHIEF FINANCIAL OFFICER - ALTERNATIVES |
ADVDB.CO • SOURCE: SEC
Representatives
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $11.2 | $0.0 | 0% | 22 | 0 | 0% |
| 2024-04-02 | $11.2 | $0.0 | 0% | 22 | 0 | 0% |
| 2023-04-04 | $8.2 | $3.0 | 37% | 19 | 3 | 16% |
| 2022-04-01 | $6.6 | $4.6 | 69% | 14 | 8 | 57% |
| 2021-04-05 | $4.5 | $6.7 | 149% | 17 | 5 | 29% |
| 2020-04-01 | $5.4 | $5.8 | 107% | 16 | 6 | 38% |
| 2019-04-01 | $3.7 | $7.5 | 205% | 19 | 3 | 16% |
| 2018-04-02 | $3.0 | $8.2 | 277% | 15 | 7 | 47% |
| 2017-04-01 | $1.6 | $9.5 | 581% | 11 | 11 | 100% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV