NEUBERGER BERMAN LOAN ADVISERS IV LLC
Adviser information for NEUBERGER BERMAN LOAN ADVISERS IV LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3 | $865.2M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $865.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | <5 | $0 |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $865.2M |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 100 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-127324 |
|---|---|
| SEC ERA File Number | 801-127324 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 324282 |
| Legal Entity Identifier | 549300J0NGDS4FA7K839 |
Principal Office
190 SOUTH LASALLE STREETSUITE 2400
CHICAGO
IL
United States
Monday - Friday, 8:30A.M.-5:00P.M.
Tel: 312-325-7700, Fax: 312-896-9430
Chief Compliance Officer
BRIAN LORD
190 SOUTH LASALLE STREET
SUITE 2400
CHICAGO
IL
United States
Tel:
312-325-7707
B*********@*****M
(Full email address available in API data)
Industry Affiliates
| NB ALTERNATIVES ADVISERS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NEUBERGER BERMAN ASIA LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NEUBERGER BERMAN ASSET MANAGEMENT IRELAND LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NEUBERGER BERMAN BD LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| NEUBERGER BERMAN CANADA ULC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NEUBERGER BERMAN EUROPE LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NEUBERGER BERMAN INVESTMENT ADVISERS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NEUBERGER BERMAN LOAN ADVISERS HOLDINGS IV GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| NEUBERGER BERMAN LOAN ADVISERS II LLC | Other investment adviser, including financial planners |
| NEUBERGER BERMAN LOAN ADVISERS LLC | Other investment adviser, including financial planners |
| NEUBERGER BERMAN SINGAPORE PTE. LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| NEUBERGER BERMAN LOAN ADVISERS CLO 54, LTD. | Securitized Asset Fund | $486.6M | $0.3M | 3 |
| NEUBERGER BERMAN LOAN ADVISERS CLO 55, LTD. | Securitized Asset Fund | $304.8M | $0.3M | 3 |
| NEUBERGER BERMAN LOAN ADVISERS LASALLE STREET LENDING CLO II, LTD. | Securitized Asset Fund | $73.7M | $0.3M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| AMATO, JOSEPH, VINCENT | Individual | – | DIRECTOR AND MANAGING DIRECTOR | 05/2022 | < 5% |
| TANK, BRADLEY, CURTIS | Individual | – | DIRECTOR, MANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER | 05/2022 | < 5% |
| WRIGHT, STEPHEN, GREGORY | Individual | – | DIRECTOR AND MANAGING DIRECTOR | 05/2022 | < 5% |
| deRegt, Kenneth, M | Individual | – | DIRECTOR AND MANAGING DIRECTOR | 05/2022 | < 5% |
| NEUBERGER BERMAN LOAN ADVISERS HOLDINGS IV LP | Foreign Entity | – | MEMBER | 01/2023 | > 75% |
| NEUBERGER BERMAN INVESTMENT ADVISERS LLC | Domestic Entity | NEUBERGER BERMAN LOAN ADVISERS HOLDINGS IV LP | LIMITED PARTNER | 01/2023 | |
| NEUBERGER BERMAN LOAN ADVISERS HOLDINGS IV GP LLC | Domestic Entity | NEUBERGER BERMAN LOAN ADVISERS HOLDINGS IV LP | GENERAL PARTNER | 05/2022 | |
| NEUBERGER BERMAN INVESTMENT ADVISERS GP HOLDINGS LLC | Domestic Entity | NEUBERGER BERMAN LOAN ADVISERS HOLDINGS IV GP LLC | MEMBER | 05/2022 | > 75% |
| NEUBERGER BERMAN INVESTMENT ADVISERS HOLDINGS LLC | Domestic Entity | NEUBERGER BERMAN INVESTMENT ADVISERS GP HOLDINGS LLC | MEMBER | 09/2011 | > 75% |
| NEUBERGER BERMAN GROUP LLC | Domestic Entity | NEUBERGER BERMAN INVESTMENT ADVISERS HOLDINGS LLC | MEMBER | 02/2009 | > 75% |
| NBSH ACQUISITION, LLC | Domestic Entity | NEUBERGER BERMAN GROUP LLC | MEMBER | 05/2009 | > 75% |
| LORD, BRIAN | Individual | – | CHIEF COMPLIANCE OFFICER, ASSISTANT SECRETARY AND SENIOR VICE PRESIDENT | 05/2022 | < 5% |
| NEUBERGER BERMAN LOAN ADVISERS HOLDINGS IV (CAYMAN) LP | Foreign Entity | NEUBERGER BERMAN LOAN ADVISERS HOLDINGS IV LP | LIMITED PARTNER | 03/2023 | 50-75% |
| NEUBERGER BERMAN LOAN ADVISERS HOLDINGS IV (DELAWARE) LP | Domestic Entity | NEUBERGER BERMAN LOAN ADVISERS HOLDINGS IV LP | LIMITED PARTNER | 03/2023 | 25-50% |
| NEUBERGER BERMAN LOAN ADVISERS HOLDINGS IV GP LLC | Domestic Entity | NEUBERGER BERMAN LOAN ADVISERS HOLDINGS IV (CAYMAN) LP | GENERAL PARTNER | 05/2022 | |
| NEUBERGER BERMAN LOAN ADVISERS HOLDINGS IV GP LLC | Domestic Entity | NEUBERGER BERMAN LOAN ADVISERS HOLDINGS IV (DELAWARE) LP | GENERAL PARTNER | 05/2022 | |
| WESTERN ALMOND COMPANY | Foreign Entity | NEUBERGER BERMAN LOAN ADVISERS HOLDINGS IV (DELAWARE) LP | LIMITED PARTNER | 03/2023 | 25-50% |