NEUBERGER BERMAN BD LLC
Adviser information for NEUBERGER BERMAN BD 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 | 1094 |
|---|---|
| Investment Advisory/Research | 695 |
| Registered Broker-Dealer Representatives | 1060 |
| Registered State Investment Advisers | 820 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Selection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerCommodity pool operator or commodity trading advisor |
Principal Office
1290 AVENUE OF THE AMERICASNEW YORK
NY
United States
Monday - Friday, 9:00 A.M.-5:00 P.M.
Tel: 212-476-9000, Fax: 212-476-9862
Chief Compliance Officer
BRAD CETRON
CHIEF COMPLIANCE OFFICER
1290 AVENUE OF THE AMERICAS
NEW YORK
NY
United States
Tel:
646-497-4654
Fax:
646-537-3644
B******@*****M
(Full email address available in API data)
Regulatory Contact
CAROLINE MCHALE
SVP, LEGAL & COMPLIANCE
1290 AVENUE OF THE AMERICAS
NEW YORK
NY
United States
Tel:
646-497-4810
C**************@*****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 AIFM LUXEMBOURG SARL | Other investment adviser, including financial plannersSponsor, 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 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 II LLC | Other investment adviser, including financial planners |
| NEUBERGER BERMAN LOAN ADVISERS IV 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 |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CETRON, BRAD ELLIOT | Individual | – | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | 05/2004 | < 5% |
| AMATO, JOSEPH VINCENT | Individual | – | PRESIDENT, CHIEF EXECUTIVE OFFICER | 07/2007 | < 5% |
| NEUBERGER BERMAN INVESTMENT ADVISERS LLC | Domestic Entity | – | MEMBER | 01/2016 | > 75% |
| NEUBERGER BERMAN GROUP LLC | Domestic Entity | NEUBERGER BERMAN INVESTMENT ADVISERS HOLDINGS LLC | HOLDING COMPANY | 02/2009 | > 75% |
| NBSH ACQUISITION, LLC | Domestic Entity | NEUBERGER BERMAN GROUP LLC | MEMBER | 05/2009 | > 75% |
| NEUBERGER BERMAN INVESTMENT ADVISERS HOLDINGS LLC | Domestic Entity | NEUBERGER BERMAN INVESTMENT ADVISERS LLC | MEMBER | 01/2016 | > 75% |
| HENTON, LORIN FRED | Individual | – | SENIOR VICE PRESIDENT, BRANCH OFFICE MANAGER, TEXAS | 01/2019 | < 5% |
| CHINNI, MICHAEL | Individual | – | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 09/2019 | < 5% |