NEUBERGER BERMAN ASIA LIMITED
Adviser information for NEUBERGER BERMAN ASIA LIMITED 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Hong Kong |
Employees
| Total Number of Employees | 64 |
|---|---|
| Investment Advisory/Research | 22 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 13 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 31 | $6.2B |
| Non-Discretionary | 0 | $0 |
| Total | 31 | $6.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $5.3M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 9 | $1.7B |
| 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 | 12 | $1.7B |
| Sovereign wealth funds and foreign official institutions | 8 | $2.8B |
| Corporations or other businesses | 0 | $0 |
| Other | 1 | $927,107 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 94 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
20TH FLOOR, JARDINE HOUSE1 CONNAUGHT PLACE, CENTRAL
HONG KONG
Hong Kong
Monday - Friday, 9.00 AM - 6.00 PM
Tel: 852 3664 8800, Fax: None
Chief Compliance Officer
TRAVIS CHIA
10 COLLYER QUAY
#15-05 OCEAN FINANCIAL CENTRE
SINGAPORE
Singapore
Tel:
65 6645 3768
T**********@*****M
(Full email address available in API data)
Regulatory Contact
ALVIN HUI
GENERAL COUNSEL, ASIA PACIFIC (EX JAPAN AND KOREA)
20TH FLOOR, JARDINE HOUSE
1 CONNAUGHT PLACE, CENTRAL
HONG KONG
Hong Kong
Tel:
852 3664 8824
A********@*****M
(Full email address available in API data)
Industry Affiliates
| NB ALTERNATIVES ADVISERS LLC | Other investment adviser, including financial plannersSponsor, 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 ASSET MANAGEMENT IRELAND LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NEUBERGER BERMAN AUSTRALIA LTD | Other investment adviser, including financial planners |
| 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 EAST ASIA LIMITED | Other investment adviser, including financial planners |
| NEUBERGER BERMAN EUROPE LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NEUBERGER BERMAN FUND MANAGEMENT (CHINA) LIMITED | Other investment adviser, including financial planners |
| 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 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 OVERSEAS INVESTMENT FUND MANAGEMENT (SHANGHAI) LIMITED | Other investment adviser, including financial planners |
| NEUBERGER BERMAN SINGAPORE PTE. LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| NEUBERGER BERMAN TAIWAN (SITE) LIMITED | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ZUCKERMAN, HEATHER, P. | Individual | – | DIRECTOR | 11/2009 | < 5% |
| NEUBERGER BERMAN ASIA HOLDINGS II LLC | Domestic Entity | – | HOLDING COMPANY | 05/2009 | > 75% |
| NEUBERGER BERMAN ASIA HOLDINGS LLC | Domestic Entity | NEUBERGER BERMAN ASIA HOLDINGS II LLC | MEMBER | 05/2009 | > 75% |
| NEUBERGER BERMAN GROUP LLC | Domestic Entity | NEUBERGER BERMAN ASIA HOLDINGS LLC | MEMBER | 05/2009 | > 75% |
| NBSH ACQUISITION, LLC | Domestic Entity | NEUBERGER BERMAN GROUP LLC | MEMBER | 05/2009 | > 75% |
| HENCHMAN, JASON, CHRISTOPHER DAVENANT | Individual | – | DIRECTOR | 03/2010 | < 5% |
| CHIA, TRAVIS | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2021 | < 5% |
| HUI, ALVIN, JOYUE | Individual | – | DIRECTOR | 11/2023 | < 5% |