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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)11 years in industry

Ashok Kumar Bhatia

Advisor at NEUBERGER BERMAN BD LLC

CHICAGO, IL | WINNETKA, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:33fd1907-e8e9-0d3b-60a3-0d4c3d480bc7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 1
Observed: Jul 1, 2015 to Sep 15, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Ashok Kumar Bhatia

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NEUBERGER BERMAN BD LLC
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Current registrations: 1
Registered states: 2
Designations: Chartered Financial Analyst
Exams: S63
First exam: Nov 9, 2018
Dual registered: yes, broker-dealer
IAPD individual key: 2378849

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NEUBERGER BERMAN BD LLC	No RAUM reported	Apr 5, 2018	n/a	yes	CHICAGO, IL\|WINNETKA, IL	Current employment

Relationships

Registered with (1)

→ NEUBERGER BERMAN BD LLCRegistered adviserregistration: current employment
Apr 5, 2018 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:33fd1907-e8e9-0d3b-60a3-0d4c3d480bc7
First observed: Jul 1, 2015
Last observed: Sep 15, 2026 5 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Ashok Kumar Bhatia

Advisor at NEUBERGER BERMAN BD LLC

CHICAGO, IL | WINNETKA, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:33fd1907-e8e9-0d3b-60a3-0d4c3d480bc7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:16 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

NEUBERGER BERMAN BD LLC

No RAUM reported

Apr 5, 2018

n/a

yes

CHICAGO, IL|WINNETKA, IL

Current employment