Hedge Fund Database

NEUBERGER BERMAN INVESTMENT ADVISERS LLC

Adviser information for NEUBERGER BERMAN INVESTMENT ADVISERS 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 1668
Investment Advisory/Research 691
Registered Broker-Dealer Representatives 879
Registered State Investment Advisers 703
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 24

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 41,212 $330.0B
Non-Discretionary 142 $7.3B
Total 41,354 $337.3B

Clients

Type Number RAUM
Individuals 23,869 $8.8B
HNW Individuals 13,371 $48.1B
Banking or thrift institutions 1 $91.9M
Investment companies 81 $60.2B
Business development companies 0 $0
Pooled investment vehicles 359 $114.9B
Pension and profit sharing plans 758 $29.6B
Charitable organizations 919 $5.4B
State or municipal gov entities 52 $25.4B
Other investment advisers 10 $3.3B
Insurance companies 60 $18.8B
Sovereign wealth funds and foreign official institutions 19 $8.5B
Corporations or other businesses 1,794 $13.6B
Other 61 $520.9M
Type Number
No. of Non-RAUM Clients 45
No. of Non-U.S. Clients 2

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Educational seminars/workshopsCONSULTING AND LICENSING OF PROPRIETARY ANALYTIC INVESTMENT MODELS
Compensation % of AUMFixed feesPerformance-based fees
Other Business Activities Commodity pool operator or commodity trading advisor

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 5.4B
Both for Same 0
Portfolio Manager to Program Sponsor
BNY MELLON MANAGED360 BNY MELLON ADVISORS, INC.
COMMUNITIES ORION PORTFOLIO SOLUTIONS, LLC
EQIS PROGRAM FREEDOM INVESTMENT MANAGEMENT, INC.
MANAGED ACCOUNT (WRAP FEE) PROGRAM JANNEY MONTGOMERY SCOTT LLC
MODEL WEALTH PORTFOLIO (MWP) LPL FINANCIAL LLC
OPS ORION PORTFOLIO SOLUTIONS, LLC
VICUS CAPITAL PROGRAM VICUS CAPITAL, INC.
RAYMOND JAMES CONSULTING SERVICES PROGRAM (RJCS) RAYMOND JAMES & ASSOCIATES, INC.
ADHESION WEALTH ADVISOR SOLUTIONS PROGRAM ADHESION WEALTH ADVISOR SOLUTIONS
UNIFIED MANAGED ACCOUNTS PROGRAM - UBS STRATEGIC WEALTH PORTFOLIO (SWP) UBS FINANCIAL SERVICES INC.
UBS ACCESS UBS FINANCIAL SERVICES INC.
FIDUCIARY SERVICES PROGRAM CITIGROUP GLOBAL MARKETS INC. - CITI PRIVATE BANK
FIDUCIARY SERVICES PROGRAM MORGAN STANLEY
BPIC PROGRAM BMO PRIVATE INVESTMENT COUNSEL, INC.
PERSONAL WEALTH PORTFOLIOS LPL FINANCIAL LLC
STIFEL OPPORTUNITY PROGRAM - CUSTOM ADVISORY PORTFOLIOS (CAP) STIFEL, NICOLAUS & COMPANY, INCORPORATED
FULCRUM EQUITY MANAGEMENT MODELS PROGRAM FULCRUM EQUITY MANAGEMENT, LLC
HIGH TOWER ADVISORS PROGRAM HIGHTOWER ADVISORS, LLC
CALLAN UMA PROGRAM CALLAN
KOVACK CHOICE UMA KOVACK ADVISORS, INC.
ROCKEFELLER PRIVATE WEALTH ADVISOR PLATFORM ROCKEFELLER CAPITAL MANAGEMENT
BANK OF AMERICA PRIVATE BANK SPS PROGRAM MANAGED ACCOUNT ADVISORS LLC
SEPARATELY MANAGED ACCOUNTS NEW EDGE WEALTH
THRIVENT TRUST COMPANY OF TENNESSEE PROGRAM THRIVENT TRUST COMPANY OF TENNESSEE
BANK WEALTH PROGRAM (BWP) LPL FINANCIAL LLC
ARCHITECT PROGRAM BMO NESBITT BURNS
RAYMOND JAMES FREEDOM UNIFIED MANAGED ACCOUNT PROGRAM RAYMOND JAMES & ASSOCIATES, INC.
ASSETMARK PORTFOLIO STRATEGIST PROGRAM ASSETMARK, INC.
BANK OF OKLAHOMA PROGRAM (BOKF) BANK OF OKLAHOMA
ENVESTNET PLATFORM - OBERON ENVESTNET PMC
ENVESTNET THIRD PARTY MODELS PROGRAM ENVESTNET PMC
SMARTX ADVISORY SOLUTIONS SMARTX ADVISORY SOLUTIONS
PERSONALIZED UNIFIED MANAGED ACCOUNT PROGRAM (PUMA) WELLS FARGO CLEARING SERVICES, LLC
UBS ADVISOR ALLOCATION PROGRAM (AAP) UBS FINANCIAL SERVICES INC.
RBC CONSULTING SOLUTIONS RBC CAPITAL MARKETS, LLC
RBC UNIFIED PORTFOLIO RBC CAPITAL MARKETS, LLC
SEI INTEGRATED MANAGED ACCOUNT PROGRAM (IMAP) SEI INVESTMENTS MANAGEMENT CORP
TRANQUILITY PARTNERS PROGRAM TRANQUILITY PARTNERS, LLC
SMARTLEAF PROGRAM SMARTLEAF ASSET MANAGEMENT LLC
BRINKER CORE ASSET MANAGER PROGRAM ORION PORTFOLIO SOLUTIONS, LLC
BRINKER UMA PROGRAM ORION PORTFOLIO SOLUTIONS, LLC
PNC MANAGED ACCOUNT PROGRAM PNC BANK, NATIONAL ASSOCIATION
MANAGED PORTFOLIO ADVISORS (MPA) NATIXIS ADVISORS, LLC
MANAGER SELECT MODEL PORTFOLIO - MANAGER SELECT AND MANAGER ACCESS SELECT LPL FINANCIAL LLC
DYNASTY WRAP FEE PROGRAM DYNASTY WEALTH MANAGEMENT, LLC
STRATEGIC PORTFOLIO WELLS FARGO BANK, N.A.
MERRILL LYNCH INVESTMENT ADVISORY PROGRAM (ML IAP) MANAGED ACCOUNT ADVISORS LLC
MSSB CONSULTING GROUP SELECT UMA MORGAN STANLEY
CGMI DYNAMIC ALLOCATIONS PORTFOLIOS - UMA - CITI PRIVATE CITIGROUP GLOBAL MARKETS INC.
ENVESTNET PLATFORM ENVESTNET PMC
EDWARD JONES ADVISORY SOLUTIONS UNIFIED MANAGED ACCOUNT MODEL EDWARD JONES
VESTMARK ADVISORY SOLUTIONS PROGRAM VESTMARK ADVISORY SOLUTIONS, INC.
BAIRD RECOMMENDED MANAGER PROGRAM ROBERT W. BAIRD & CO. INCORPORATED
MULTI-MANAGER ACCOUNT PROGRAM ENVESTNET PMC
MANAGED ACCOUNT SELECT CHARLES SCHWAB & CO., INC.
ENVESTNET PRIVATE WEALTH MANAGEMENT ENVESTNET PMC
FIDUCIARY SERVICES PROGRAM CITIGROUP GLOBAL MARKETS INC.
MANAGED ACCOUNT STRATEGIES GOLDMAN SACHS & CO. LLC
STIFEL OPPORTUNITY PROGRAM STIFEL, NICOLAUS & COMPANY, INCORPORATED
MANAGED ACCOUNT PROGRAM SIMPLICITY SOLUTIONS, LLC
MANAGER MODEL SLEEVE (MM SLEEVE) TRUIST ADVISORY SERVICES, INC.
MERRILL LYNCH STRATEGIC PORTFOLIO ADVISOR (SPA) MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
AMC PREMIER PROGRAM TRUIST ADVISORY SERVICES, INC.
MANAGED INVESTMENT WRAP PROGRAM TD ASSET MANAGEMENT
AMERIPRISE SELECT SEPARATE ACCOUNT AMERIPRISE FINANCIAL SERVICES, LLC
NORTHERN TRUST PROGRAM NORTHERN TRUST INVESTMENTS, INCORPORATED
MANAGED ACCOUNT ACCESS CHARLES SCHWAB & CO., INC.
SEPARATELY MANAGED ACCOUNTS ASSETMARK, INC.
UNIFIED OVERLAY MANAGEMENT PROGRAM (UOMP) FDX ADVISORS, INC.
MANAGED PORTFOLIO ACCOUNT (MPA) PROGRAM HSBC GLOBAL ASSET MANAGEMENT (USA) INC.
JPMORGAN PRIVATE BANK PROGRAM J.P. MORGAN CHASE BANK, NA
MANAGER ACCESS SELECT LPL FINANCIAL LLC
MANAGER SELECT LPL FINANCIAL LLC
SEI INTEGRATED MANAGED ACCOUNT PROGRAM (SMAP) SEI INVESTMENTS MANAGEMENT CORP
FIRST REPUBLIC INVESTMENT MANAGEMENT - WRAP FEE PROGRAM J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
MERRILL LYNCH MANAGED ACCOUNT SERVICES (MAS) MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BEACON POINTE ADVISORS WRAP FEE PROGRAM BEACON POINTE ADVISORS, LLC
BNY MELLON MANAGED ACCOUNT COMMAND BNY MELLON ADVISORS, INC.
BNY MELLON MANAGED ACCOUNT CONNECT BNY MELLON ADVISORS, INC.
CAPTRUST WRAP FEE PROGRAM BROCHURE CAPTRUST
MANAGED ACCOUNT CONNECTION CHARLES SCHWAB & CO., INC.
CGMI INVESTMENT ADVISORY PROGRAMS CITIGROUP GLOBAL MARKETS INC.
UNIFORM OVERLAY MANAGER PROGRAM DYNASTY WEALTH MANAGEMENT, LLC
ENVESTNET FIXED INCOME UMA PLATFORM ENVESTNET PMC
FIDELITY MANAGED ACCOUNT XCHANGESM [FMAX] FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
IH2 ADVISORS WRAP FEE PROGRAM IH2 ADVISORS & COMPANY
RAYMOND JAMES OSM PLATFORM RAYMOND JAMES & ASSOCIATES, INC.
RBC MANAGED ACCOUNT PROGRAM (MAP) RBC CAPITAL MARKETS, LLC
SNOWDEN CAPITAL ADVISORS WRAP FEE PROGRAM SNOWDEN CAPITAL ADVISORS LLC
UBS MANAGED ACCOUNTS CONSULTING (MAC) UBS FINANCIAL SERVICES INC.
WEAS ASSET MANAGEMENT WRAP PROGRAM WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
STRATEGIC INVESTMENT SERVICES PROGRAM J.P. MORGAN SECURITIES LLC

Identifiers

SEC RIA File Number 801-61757
SEC ERA File Number 801-61757
SEC CIK Numbers 1230440
SEC CRD Numbers 124687
Legal Entity Identifier 8PSZVUUKYGCPW2RDO373

Principal Office

1290 AVENUE OF THE AMERICAS
NEW YORK
NY
United States
Monday - Friday, 8:30A.M. - 5:00P.M.
Tel: 212-476-9000, Fax: 212-476-9862

Websites

twitter.com/neubergerberman www.nb.com www.linkedin.com/company/neuberger-berman twitter.com/nb_wealth www.nbprivatewealth.com www.linkedin.com/company/nbprivatewealth

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
(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
(Full email address available in API data)

Industry Affiliates

GREENE STREET FUNDING LLC Sponsor, GP, manager of pooled investment vehicles
HOMEWARD GP I LLC Sponsor, GP, manager of pooled investment vehicles
HOMEWARD GP LLC Sponsor, GP, manager of pooled investment vehicles
HOMEWARD OFFSHORE GP I LTD Sponsor, GP, manager of pooled investment vehicles
HOMEWARD OFFSHORE GP LTD Sponsor, GP, manager of pooled investment vehicles
HOMEWARD OPPORTUNITIES GUERNSEY GP LLC Sponsor, GP, manager of pooled investment vehicles
KANTOR PRIVATE OPPORTUNITIES II ASSOCIATES LP Sponsor, GP, manager of pooled investment vehicles
KANTOR PRIVATE OPPORTUNITIES III ASSOCIATES LP Sponsor, GP, manager of pooled investment vehicles
KANTOR PRIVATE OPPORTUNITIES IV ASSOCIATES LP Sponsor, GP, manager of pooled investment vehicles
KANTOR PRIVATE OPPORTUNITIES V ASSOCIATES LP Sponsor, GP, manager of pooled investment vehicles
KANTOR PRIVATE OPPORTUNITIES VI ASSOCIATES LP Sponsor, GP, manager of pooled investment vehicles
NB ALTERNATIVE INVESTMENT MANAGEMENT GP LLC Sponsor, GP, manager of pooled investment vehicles
NB ALTERNATIVES ADVISERS LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
NB CAPE CO-INVEST FUND I ASSOCIATES LP Sponsor, GP, manager of pooled investment vehicles
NB CAPE CO-INVEST FUND II ASSOCIATES LP Sponsor, GP, manager of pooled investment vehicles
NB CAPE CO-INVEST FUND III ASSOCIATES LP Sponsor, GP, manager of pooled investment vehicles
NB CHINA A-SHARE EQUITY FUND GP LLC Sponsor, GP, manager of pooled investment vehicles
NB CLO OPPORTUNITY FUND GP LLC Sponsor, GP, manager of pooled investment vehicles
NB CROSSOVER AND PARTNER EQUITY FUND I ASSOCIATES LP Sponsor, GP, manager of pooled investment vehicles
NB DISTRESSED DEBT ASSOCIATES GP LLC Sponsor, GP, manager of pooled investment vehicles
NB DISTRESSED DEBT ASSOCIATES LP Sponsor, GP, manager of pooled investment vehicles
NB DISTRESSED DEBT OFFSHORE ASSOCIATES LTD Sponsor, GP, manager of pooled investment vehicles
NB EQUITY MANAGEMENT GP LLC Sponsor, GP, manager of pooled investment vehicles
NB INTERNATIONAL SMALL CAP FUND GP LLC Sponsor, GP, manager of pooled investment vehicles
NB OPPORTUNISTIC CAPITAL SOLUTIONS FUND GP LLC Sponsor, GP, manager of pooled investment vehicles
NB SPECIALTY FINANCE ASSOCIATES LP Sponsor, GP, manager of pooled investment vehicles
NB STRATEGIC INDIA EQUITY FUND GP LLC Sponsor, GP, manager of pooled investment vehicles
NBLA III ASSOCIATES LP Sponsor, 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 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 INDIA PRIVATE LIMITED Other investment adviser, including financial planners
NEUBERGER BERMAN INFORMATION CONSULTING (SHANGHAI) LIMITED Other investment adviser, including financial planners
NEUBERGER BERMAN LOAN ADVISERS HOLDINGS GP LLC Sponsor, GP, manager of pooled investment vehicles
NEUBERGER BERMAN LOAN ADVISERS HOLDINGS II 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 IV LLC Other investment adviser, including financial planners
NEUBERGER BERMAN LOAN ADVISERS LLC Other investment adviser, including financial planners
NEUBERGER BERMAN PRINCIPAL STRATEGIES GP LLC Sponsor, GP, manager of pooled investment vehicles
NEUBERGER BERMAN PRINCIPAL STRATEGIES PRIMA ASSOCIATES LP Sponsor, GP, manager of pooled investment vehicles
NEUBERGER BERMAN PRINCIPAL STRATEGIES PRIMA GP LLC Sponsor, GP, manager of pooled investment vehicles
NEUBERGER BERMAN RISK PARITY GP LLC Sponsor, GP, manager of pooled investment vehicles
NEUBERGER BERMAN SDS ENHANCED EQUITY GP LLC Sponsor, GP, manager of pooled investment vehicles
NEUBERGER BERMAN SINGAPORE PTE. LIMITED Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
NEUBERGER BERMAN SPECIAL SITUATIONS ASSOCIATES III LP Sponsor, GP, manager of pooled investment vehicles
NEUBERGER BERMAN SPECIAL SITUATIONS ASSOCIATES LP Sponsor, GP, manager of pooled investment vehicles
NEUBERGER BERMAN TACTICAL MACRO ENHANCED FUND GP LLC Sponsor, GP, manager of pooled investment vehicles
NEUBERGER BERMAN TACTICAL MACRO FUND GP LLC Sponsor, GP, manager of pooled investment vehicles
NEUBERGER BERMAN TRUST COMPANY N.A. Registered municipal advisorCommodity pool operator or commodity trading advisorTrust companySponsor, GP, manager of pooled investment vehicles
NEUBERGER BERMAN TRUST COMPANY OF DELAWARE N.A. Trust company
REDI CORE GP LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
590 PARTNERS, L.P. LONG ONLY PRIVATE FUND WITH REDEMPTION RIGHTS $6.2M $0.0M 9
AMADEUS PARTNERS, L.P. Hedge Fund $45.9M $0.1M 24
CAPITAL GROUP OPPORTUNISTIC FUND LLC Hedge Fund $11.6M $0.5M 8
GREENE STREET FUNDING LP Hedge Fund $2.0M $0.0M 2
HAS PARTNERS FUND, L.P. LONG ONLY PRIVATE FUND WITH REDEMPTION RIGHTS $14.4M $0.0M 17
HAS PARTNERS RETIREMENT FUND, L.P. LONG ONLY PRIVATE FUND WITH REDEMPTION RIGHTS $17.9M $0.0M 25
HOMEWARD OPPORTUNITIES FUND I LP Hedge Fund $103.9M $0.0M 7
HOMEWARD OPPORTUNITIES FUND LP Hedge Fund $2,308.2M $0.0M 11
KANTOR PRIVATE OPPORTUNITIES II LP Private Equity Fund $35.9M $0.1M 88
KANTOR PRIVATE OPPORTUNITIES III LP Private Equity Fund $13.7M $0.1M 95
KANTOR PRIVATE OPPORTUNITIES IV LP Private Equity Fund $0.6M $0.1M 1
KANTOR PRIVATE OPPORTUNITIES V LP Private Equity Fund $22.5M $0.1M 129
KANTOR PRIVATE OPPORTUNITIES VI LP Private Equity Fund $75.9M $0.1M 157
LIGHTPOINT PAN-EUROPEAN CLO 2007-1 P.L.C. Securitized Asset Fund $1.4M $0.1M 0
MMBB DISTRESSED CREDIT OPPORTUNITY FUND LTD. Hedge Fund $6.3M $5.0M 1
NB ALL CAP ALPHA MASTER FUND, LTD. Hedge Fund $75.2M $1.0M 8
NB ALPHA OPPORTUNITIES LTD. Hedge Fund $2.6M $0.0M 2
NB CAPE CO-INVEST FUND I LP Private Equity Fund $11.4M $0.1M 32
NB CAPE CO-INVEST FUND II LP Private Equity Fund $19.7M $0.1M 18
NB CAPE CO-INVEST FUND III LP Private Equity Fund $9.9M $0.1M 38
NB CROSSOVER AND PARTNER EQUITY MASTER FUND I LP Hedge Fund $175.5M $0.5M 436
NB DISTRESSED DEBT INVESTMENT FUND LIMITED - EXTENDED LIFE SHARE CLASS Hedge Fund $46.9M $0.1M 75
NB DISTRESSED DEBT INVESTMENT FUND LIMITED - NEW GLOBAL SHARE CLASS Hedge Fund $17.5M $0.0M 44
NB DISTRESSED DEBT INVESTMENT FUND LIMITED - ORDINARY SHARE CLASS Hedge Fund $12.8M $0.1M 30
NB DISTRESSED DEBT MASTER FUND LP - EXISTING SERIES Hedge Fund $19.2M $5.0M 12
NB DIVERSIFIED ARBITRAGE MASTER FUND LLC Hedge Fund $0.8M $0.3M 2
NB OFFSHORE DIVERSIFIED ARBITRAGE MASTER FUND LTD. Hedge Fund $0.0M $0.3M 1
NB PINE ROCK MASTER FUND L.P. Hedge Fund $39.5M $0.5M 21
NB SPECIALTY FINANCE FUND LP Private Equity Fund $40.3M $5.0M 63
NBEC SPC/NBEC CLO XVII SP Securitized Asset Fund $0.5M $0.1M 6
NBEC SPC/NBEC CLO XVIII SP Securitized Asset Fund $0.4M $0.0M 7
NBEC SPC/NBEC CLO XX SP Securitized Asset Fund $0.2M $0.0M 6
NBEC SPC/NBEC CLO XXII SP Securitized Asset Fund $0.2M $0.0M 7
NBEC SPC/NBEC CLO XXIII SP Securitized Asset Fund $0.0M $0.0M 0
NEUBERGER BERMAN (PF) STRATEGIC MULTI-SECTOR FIXED INCOME FUND LLC Hedge Fund $715.9M $10.0M 16
NEUBERGER BERMAN CHINA A-SHARE EQUITY MASTER FUND L.P. Hedge Fund $1.4M $10.0M 3
NEUBERGER BERMAN CLO OPPORTUNITY MASTER LP Securitized Asset Fund $0.0M $1.0M 0
NEUBERGER BERMAN CLO XIV, LTD Securitized Asset Fund $334.7M $0.3M 0
NEUBERGER BERMAN CLO XV, LTD Securitized Asset Fund $364.1M $0.3M 0
NEUBERGER BERMAN CLO XVI-S, LTD. Securitized Asset Fund $433.8M $0.3M 0
NEUBERGER BERMAN CLO XVII, LTD Securitized Asset Fund $471.8M $0.3M 0
NEUBERGER BERMAN CLO XVIII, LTD Securitized Asset Fund $462.6M $0.3M 0
NEUBERGER BERMAN CLO XX, LTD. Securitized Asset Fund $482.8M $0.3M 0
NEUBERGER BERMAN CLO XXI, LTD. Securitized Asset Fund $484.4M $0.3M 0
NEUBERGER BERMAN CLO XXII, LTD. Securitized Asset Fund $381.4M $0.3M 0
NEUBERGER BERMAN CLO XXIII, LTD. Securitized Asset Fund $0.0M $0.3M 0
NEUBERGER BERMAN EMERGING MARKET DEBT - HARD CURRENCY FUND LLC Hedge Fund $244.0M $10.0M 20
NEUBERGER BERMAN EMERGING MARKET DEBT - LOCAL CURRENCY FUND LLC Hedge Fund $71.4M $10.0M 2
NEUBERGER BERMAN EMERGING MARKET DEBT FUND LLC Hedge Fund $98.3M $10.0M 2
NEUBERGER BERMAN EMERGING MARKETS EQUITY MASTER FUND L.P. Hedge Fund $44.8M $10.0M 2
NEUBERGER BERMAN HEDGED CRYPTOCURRENCY VOLATILITY FUND LLC Hedge Fund $49.2M $5.0M 55
NEUBERGER BERMAN HIGH INCOME FUND LLC BOND FUND $472.2M $20.0M 18
NEUBERGER BERMAN INCOME PLUS MASTER FUND, L.P. LONG ONLY PRIVATE FUND WITH REDEMPTION RIGHTS $0.0M $0.5M 0
NEUBERGER BERMAN INTERNATIONAL SMALL CAP MASTER FUND L.P. Hedge Fund $1.6M $10.0M 1
NEUBERGER BERMAN LOAN ADVISERS HOLDINGS III LP Hedge Fund $30.2M $5.0M 14
NEUBERGER BERMAN OPPORTUNISTIC CAPITAL SOLUTIONS MASTER FUND LP Hedge Fund $550.2M $1.0M 648
NEUBERGER BERMAN PRINCIPAL STRATEGIES CO-INVEST FUND I LP Hedge Fund $7.7M $5.0M 2
NEUBERGER BERMAN PRINCIPAL STRATEGIES CO-INVEST FUND II LP Hedge Fund $0.5M $5.0M 2
NEUBERGER BERMAN PRINCIPAL STRATEGIES MASTER FUND L.P. Hedge Fund $74.2M $5.0M 8
NEUBERGER BERMAN PRINCIPAL STRATEGIES PRIMA CO-INVEST FUND I-B LP Hedge Fund $12.8M $5.0M 3
NEUBERGER BERMAN PRINCIPAL STRATEGIES PRIMA CO-INVEST FUND III LP Hedge Fund $8.3M $5.0M 1
NEUBERGER BERMAN PRINCIPAL STRATEGIES PRIMA CO-INVEST FUND IV LP Hedge Fund $8.9M $5.0M 1
NEUBERGER BERMAN PRINCIPAL STRATEGIES PRIMA CO-INVEST FUND VI LP Hedge Fund $0.7M $5.0M 2
NEUBERGER BERMAN PRINCIPAL STRATEGIES PRIMA CO-INVEST FUND VII LP Hedge Fund $11.0M $5.0M 2
NEUBERGER BERMAN PRINCIPAL STRATEGIES PRIMA CO-INVEST FUND VIII LP Hedge Fund $10.3M $5.0M 2
NEUBERGER BERMAN PRINCIPAL STRATEGIES PRIMA FUND LP Hedge Fund $136.1M $5.0M 97
NEUBERGER BERMAN REAL ESTATE DEBT INCOME CORE FUND B LP Hedge Fund $30.0M $0.0M 2
NEUBERGER BERMAN REAL ESTATE DEBT INCOME FUND B-1 LP Hedge Fund $98.7M $0.0M 1
NEUBERGER BERMAN RISK PARITY MASTER FUND LP Hedge Fund $487.8M $0.3M 4
NEUBERGER BERMAN SDS ENHANCED EQUITY FUND LP Hedge Fund $227.8M $1.0M 2
NEUBERGER BERMAN SHORT DURATION EMERGING MARKET DEBT FUND LLC Hedge Fund $70.4M $10.0M 4
NEUBERGER BERMAN SPECIAL SITUATIONS MASTER FUND II LP Hedge Fund $536.4M $5.0M 14
NEUBERGER BERMAN SPECIAL SITUATIONS MASTER FUND III LP Hedge Fund $77.9M $5.0M 8
NEUBERGER BERMAN STRATEGIC INDIA EQUITY MASTER FUND LP Hedge Fund $2.9M $10.0M 3
NEUBERGER BERMAN TACTICAL MACRO ENHANCED MASTER FUND LP Hedge Fund $12.5M $10.0M 2
NEUBERGER BERMAN TACTICAL MACRO MASTER FUND LP Hedge Fund $133.0M $10.0M 12
NEUBERGER BERMAN U.S. EQUITY INDEX PUTWRITE FUND LLC Hedge Fund $1,484.7M $10.0M 62
THE MONON FUND LTD. Hedge Fund $285.0M $5.0M 1
VANTAGE GROWTH PARTNERS, L.P. Hedge Fund $116.8M $0.0M 2
VANTAGE PARTNERS, LP Hedge Fund $144.5M $0.0M 49
VERDE CDO, LTD. Securitized Asset Fund $41.7M $0.3M 0

Control Persons

Name Type Entity Title Since Ownership
NEUBERGER BERMAN INVESTMENT ADVISERS HOLDINGS LLC Domestic Entity – MEMBER 05/2009 > 75%
TANK, BRADLEY, CURTIS Individual – DIRECTOR, PRESIDENT - FIXED INCOME, CHIEF INVESTMENT OFFICER - FIXED INCOME 01/2004 < 5%
AMATO, JOSEPH, VINCENT Individual – DIRECTOR, PRESIDENT - EQUITIES, CHIEF INVESTMENT OFFICER - EQUITIES 05/2006 < 5%
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%
CETRON, BRAD, ELLIOT Individual – CHIEF COMPLIANCE OFFICER - HEAD OF COMPLIANCE AND MANAGING DIRECTOR 01/2016 < 5%
WRIGHT, STEPHEN, GREGORY Individual – DIRECTOR, MANAGING DIRECTOR 01/2019 < 5%
Viola, Leo, Anthony Individual – CONTROLLER AND MANAGING DIRECTOR 01/2022 < 5%
deRegt, Kenneth, M Individual – DIRECTOR 05/2021 < 5%
CHINNI, MICHAEL Individual – TREASURER AND SENIOR VICE PRESIDENT 06/2021 < 5%
KRAMER, JOHN, DOUGLAS Individual – DIRECTOR 04/2023 < 5%

No. Employees, Historic

2,0001,000020192020202120222023202420251171 on 4/3/20191171 on 9/30/20191171 on 12/4/20191171 on 12/4/20191337 on 3/30/20201337 on 6/10/20201337 on 11/10/20201337 on 2/26/20211387 on 3/24/20211387 on 3/29/20211387 on 4/29/20211387 on 6/29/20211387 on 7/14/20211387 on 11/2/20211387 on 12/8/20211387 on 1/31/20221446 on 3/30/20221446 on 5/11/20221446 on 7/18/20221446 on 8/12/20221446 on 9/22/20221446 on 10/25/20221446 on 11/1/20221446 on 12/7/20221596 on 3/31/20231596 on 6/26/20231596 on 9/27/20231596 on 1/11/20241668 on 3/28/2024

RAUM, Historic

400B200B02019202020212022202320242025241682599475 on 4/3/2019241682599475 on 9/30/2019241682599475 on 12/4/2019241682599475 on 12/4/2019283853790140 on 3/30/2020283853790140 on 6/10/2020283853790140 on 11/10/2020283853790140 on 2/26/2021316913659312 on 3/24/2021316913659312 on 3/29/2021316913659312 on 4/29/2021316913659312 on 6/29/2021316913659312 on 7/14/2021316913659312 on 11/2/2021316913659312 on 12/8/2021316913659312 on 1/31/2022365088265127 on 3/30/2022365088265127 on 5/11/2022365088265127 on 7/18/2022365088265127 on 8/12/2022365088265127 on 9/22/2022365088265127 on 10/25/2022365088265127 on 11/1/2022365088265127 on 12/7/2022315321148238 on 3/31/2023315321148238 on 6/26/2023315321148238 on 9/27/2023315321148238 on 1/11/2024337283181637 on 3/28/2024

No. Clients, Historic

50,00025,0000201920202021202220232024202536993 on 4/3/201936993 on 9/30/201936993 on 12/4/201936993 on 12/4/201936509 on 3/30/202036509 on 6/10/202036509 on 11/10/202036509 on 2/26/202137222 on 3/24/202137222 on 3/29/202137222 on 4/29/202137222 on 6/29/202137222 on 7/14/202137222 on 11/2/202137222 on 12/8/202137222 on 1/31/202239602 on 3/30/202239602 on 5/11/202239602 on 7/18/202239602 on 8/12/202239602 on 9/22/202239602 on 10/25/202239602 on 11/1/202239602 on 12/7/202240303 on 3/31/202340303 on 6/26/202340303 on 9/27/202340303 on 1/11/202441354 on 3/28/2024