NEUBERGER BERMAN INVESTMENT ADVISERS LLC
Latest filing: Jul 01, 2024 (121 days ago)
AUM
$337,283,181,637
7% change vs. 1 year ago
6% change vs. 3 years ago
40% change vs. 5 years ago
249% change vs. 10 years ago
Employee Count
1,668
5% change vs. 1 year ago
20% change vs. 3 years ago
42% change vs. 5 years ago
638% 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 | $330.0 |
| Non-Discretionary | $7.3 |
| Total | $337.3 |
| Client | AUM |
|---|---|
| Retail | $56.9 |
| Pooled | $175.2 |
| Institutional | $105.3 |
| Total | $337.3 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 23,869 | $8.8 |
| Average Individual AUM | $366,656 | |
| HNW | 13,371 | $48.1 |
| Average HNW AUM | $3,598,618 | |
| Retail Total | 37,240 | $56.9 |
| Average Retail AUM | $1,527,090 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| NATIONAL FINANCIAL SERVICES LLC | BOSTON-MA-USA | $57.3 |
| STATE STREET BANK AND TRUST COMPANY | BOSTON-MA-USA | $26.8 |
| THE NORTHERN TRUST COMPANY | CHICAGO-IL-USA | $18.4 |
| THE BANK OF NEW YORK MELLON | NEW YORK-NY-USA | $16.5 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $162.1 |
| Retail SMA AUM | $56.9 |
| Institutional SMA AUM | $105.3 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 38% | $61.6 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 13% | $21.1 |
| Municipal | 5% | $8.1 |
| Sovereign | 4% | $6.5 |
| IG Credit | 14% | $22.7 |
| HY Credit | 10% | $16.2 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 2% | $3.2 |
| Other Pools | 5% | $8.1 |
| Cash | 4% | $6.5 |
| Other | 5% | $8.1 |
| Total | 100% | $162.1 |
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 |
|---|---|---|---|
| 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 | |
| KANTOR PRIVATE OPPORTUNITIES V ASSOCIATES LP | $0.0 | - | |
| GREENE STREET FUNDING LLC | $0.0 | - | |
| NB EQUITY MANAGEMENT GP LLC | $0.0 | - | |
| NEUBERGER BERMAN LOAN ADVISERS HOLDINGS GP LLC | $0.0 | - | |
| HOMEWARD OFFSHORE GP I LTD | $0.0 | - | |
| NB CLO OPPORTUNITY FUND GP LLC | $0.0 | - | |
| NB OPPORTUNISTIC CAPITAL SOLUTIONS FUND GP LLC | $0.0 | - | |
| HOMEWARD GP LLC | $0.0 | - | |
| NEUBERGER BERMAN TACTICAL MACRO ENHANCED FUND GP LLC | $0.0 | - | |
| NB DISTRESSED DEBT OFFSHORE ASSOCIATES LTD | $0.0 | - | |
| NEUBERGER BERMAN PRINCIPAL STRATEGIES PRIMA ASSOCIATES LP | $0.0 | - | |
| NBLA III ASSOCIATES LP | $0.0 | - | |
| NB INTERNATIONAL SMALL CAP FUND GP LLC | $0.0 | - | |
| NB CROSSOVER AND PARTNER EQUITY FUND I ASSOCIATES LP | $0.0 | - | |
| NB CHINA A-SHARE EQUITY FUND GP LLC | $0.0 | - | |
| NB SPECIALTY FINANCE ASSOCIATES LP | $0.0 | - | |
| HOMEWARD GP I LLC | $0.0 | - | |
| NEUBERGER BERMAN TRUST COMPANY N.A. | $0.0 | trust company, municipal advisor | - |
| NEUBERGER BERMAN LOAN ADVISERS HOLDINGS II GP LLC | $0.0 | - | |
| NEUBERGER BERMAN RISK PARITY GP LLC | $0.0 | - | |
| NB DISTRESSED DEBT ASSOCIATES GP LLC | $0.0 | - | |
| NEUBERGER BERMAN PRINCIPAL STRATEGIES GP LLC | $0.0 | - | |
| NEUBERGER BERMAN INFORMATION CONSULTING (SHANGHAI) LIMITED | $0.0 | - | |
| NB CAPE CO-INVEST FUND I ASSOCIATES LP | $0.0 | - | |
| NB STRATEGIC INDIA EQUITY FUND GP LLC | $0.0 | - | |
| KANTOR PRIVATE OPPORTUNITIES VI ASSOCIATES LP | $0.0 | - | |
| NEUBERGER BERMAN TACTICAL MACRO FUND GP LLC | $0.0 | - | |
| NB CAPE CO-INVEST FUND II ASSOCIATES LP | $0.0 | - | |
| HOMEWARD OFFSHORE GP LTD | $0.0 | - | |
| REDI CORE GP LLC | $0.0 | - | |
| NEUBERGER BERMAN SPECIAL SITUATIONS ASSOCIATES III LP | $0.0 | - | |
| NEUBERGER BERMAN SDS ENHANCED EQUITY GP LLC | $0.0 | - | |
| NB DISTRESSED DEBT ASSOCIATES LP | $0.0 | - | |
| NEUBERGER BERMAN SPECIAL SITUATIONS ASSOCIATES LP | $0.0 | - | |
| KANTOR PRIVATE OPPORTUNITIES III ASSOCIATES LP | $0.0 | - | |
| NEUBERGER BERMAN ASSET MANAGEMENT IRELAND LIMITED | $0.0 | 300727 | |
| KANTOR PRIVATE OPPORTUNITIES IV ASSOCIATES LP | $0.0 | - | |
| NEUBERGER BERMAN PRINCIPAL STRATEGIES PRIMA GP LLC | $0.0 | - | |
| NEUBERGER BERMAN INDIA PRIVATE LIMITED | $0.0 | - | |
| NB CAPE CO-INVEST FUND III ASSOCIATES LP | $0.0 | - | |
| HOMEWARD OPPORTUNITIES GUERNSEY GP LLC | $0.0 | - | |
| NEUBERGER BERMAN AIFM SARL | $0.0 | 300813 | |
| NEUBERGER BERMAN TRUST COMPANY OF DELAWARE N.A. | $0.0 | trust company | - |
| NEUBERGER BERMAN BD LLC | $0.0 | broker-dealer | 2908 |
| KANTOR PRIVATE OPPORTUNITIES II ASSOCIATES LP | $0.0 | - | |
| NB ALTERNATIVE INVESTMENT MANAGEMENT GP LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
11 active
| Name | Title |
|---|---|
| TANK, BRADLEY, CURTIS | DIRECTOR, PRESIDENT - FIXED INCOME, CHIEF INVESTMENT OFFICER - FIXED INCOME |
| AMATO, JOSEPH, VINCENT | DIRECTOR, PRESIDENT - EQUITIES, CHIEF INVESTMENT OFFICER - EQUITIES |
| CETRON, BRAD, ELLIOT | CHIEF COMPLIANCE OFFICER - HEAD OF COMPLIANCE AND MANAGING DIRECTOR |
| WRIGHT, STEPHEN, GREGORY | DIRECTOR, MANAGING DIRECTOR |
| VIOLA, LEO, ANTHONY | CONTROLLER AND MANAGING DIRECTOR |
| DEREGT, KENNETH, M | DIRECTOR |
| CHINNI, MICHAEL | TREASURER AND SENIOR VICE PRESIDENT |
| KRAMER, JOHN, DOUGLAS | DIRECTOR |
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 | $337.3 | $0.0 | 0% | 1,668 | 0 | 0% |
| 2024-04-02 | $337.3 | $0.0 | 0% | 1,668 | 0 | 0% |
| 2023-04-04 | $315.3 | $22.0 | 7% | 1,596 | 72 | 5% |
| 2022-04-01 | $365.1 | -$27.8 | -8% | 1,446 | 222 | 15% |
| 2021-04-05 | $316.9 | $20.4 | 6% | 1,387 | 281 | 20% |
| 2020-04-01 | $283.9 | $53.4 | 19% | 1,337 | 331 | 25% |
| 2019-04-01 | $241.7 | $95.6 | 40% | 1,171 | 497 | 42% |
| 2018-04-02 | $248.4 | $88.9 | 36% | 1,050 | 618 | 59% |
| 2017-04-01 | $218.7 | $118.6 | 54% | 1,012 | 656 | 65% |
| 2016-04-01 | $162.1 | $175.2 | 108% | 848 | 820 | 97% |
| 2015-04-01 | $104.4 | $232.9 | 223% | 249 | 1,419 | 570% |
| 2014-04-01 | $96.7 | $240.6 | 249% | 226 | 1,442 | 638% |
| 2013-04-01 | $89.9 | $247.4 | 275% | 194 | 1,474 | 760% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| NY, AK-02/28/2008, AL-02/28/2008, AR-02/28/2008, AZ-02/28/2008, CA-02/28/2008, CO-02/28/2008, CT-02/28/2008, DC-02/28/2008, DE-03/03/2008, FL-02/29/2008, GA-02/28/2008, HI-02/28/2008, IA-02/29/2008, ID-02/28/2008, IL-01/28/2003, IN-02/28/2008, KS-02/28/2008, KY-02/28/2008, LA-02/28/2008, MA-02/28/2008, MD-02/28/2008, ME-02/28/2008, MI-02/28/2008, MN-03/06/2008, MO-02/28/2008, MS-02/28/2008, MT-02/28/2008, NC-02/28/2008, ND-02/28/2008, NE-02/28/2008, NH-02/28/2008, NJ-03/05/2008, NM-02/28/2008, NV-02/28/2008, NY-02/28/2008, OH-02/28/2008, OK-02/28/2008, OR-02/28/2008, PA-02/28/2008, PR-02/28/2008, RI-02/28/2008, SC-02/28/2008, SD-03/04/2008, TN-02/29/2008, TX-02/28/2008, UT-02/28/2008, VA-02/28/2008, VI-02/28/2008, VT-02/28/2008, WA-02/28/2008, WI-02/28/2008, WV-02/28/2008 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV