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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

NEUBERGER BERMAN MANAGEMENT LLC

CRD 5493

NEW YORK, NY

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Search this name across graphsid dfx:ria:60ce2ae9-ed35-d1f6-cca4-a50f2f8151c9

Data as of Jan 4, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 30
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Jan 4, 2016
10 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $54BItem 5.F on the latest filing (2016-01-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $54B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 487
Advisory employees: 381
Accounts: 72
SEC number: 801-8259
CRD: 5493
Filings on the tape: 10
First filed: Mar 30, 2012
Latest filed: Jan 4, 2016
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
AINSWORTH, JASON RYAN	MANAGING DIRECTOR, BRANCH OFFICE MANAGER, TEXAS	Na	yes	05/2010	Mar 30, 2012	Jan 4, 2016
AMATO, JOSEPH VINCENT	CEO & PRESIDENT NB HOLDINGS LLC, SOLE MEMBER OF REGISTRANT AND CHIEF INVESTMENT OFFICER-EQUITIES	Na	yes	08/2008	Mar 30, 2012	Jan 4, 2016
CONTI, ROBERT JOHN	PRESIDENT & CEO	Na	yes	12/2008	Mar 30, 2012	Jan 4, 2016
DEMPSEY, JAMES J	SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER	Na	yes	03/2012	Mar 30, 2012	Jan 4, 2016
NBSH ACQUISITION, LLC	Member	E	yes	05/2009	Mar 30, 2012	Jan 4, 2016
NEUBERGER BERMAN FIXED INCOME HOLDINGS LLC	Member	E	yes	01/2016	Jan 4, 2016	Jan 4, 2016
NEUBERGER BERMAN GROUP LLC	HOLDING COMPANY	E	yes	02/2009	Mar 30, 2012	Jan 4, 2016
NEUBERGER BERMAN INVESTMENT ADVISERS LLC	Member	E	yes	01/2016	Jan 4, 2016	Jan 4, 2016
TANK, BRADLEY CURTIS	MANAGING DIRECTOR, CIO FIXED INCOME	Na	yes	12/2008	Mar 30, 2012	Jan 4, 2016
ALLARD, ANDREW BRIAN	SENIOR VICE PRESIDENT, GENERAL COUNSEL	Na	no	01/2013	Mar 28, 2013	Jan 4, 2016
CETRON, BRAD ELLIOT	MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE - B/D	Na	no	02/2006	Mar 30, 2012	Jan 4, 2016
WILLIAMS, CHAMAINE NATHALEE	SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE - I/A	Na	no	02/2006	Mar 30, 2012	Jan 4, 2016

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
NEUBERGER BERMAN INVESTMENT ADVISERS LLC	n/a	Other adviser	$399B	N	yes	n/a
NB ALTERNATIVES ADVISERS LLC	n/a	Other adviser	$160B	N	yes	n/a
NEUBERGER BERMAN EUROPE LIMITED	n/a	Asset manager	$98B	N	yes	n/a
NEUBERGER BERMAN SINGAPORE PTE. LIMITED	n/a	Asset manager	$29B	N	yes	n/a
NEUBERGER BERMAN ASIA LIMITED	n/a	Other adviser	$11B	N	yes	n/a
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC	n/a	Former SEC adviser	$3.4B	N	yes	n/a
NEUBERGER BERMAN LLC	n/a	No RAUM reported	$0	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	n/a	no
Atlanta	Ga	United States	n/a	no
Chicago	IL	United States	n/a	no
Boston	Ma	United States	n/a	no
Dallas	TX	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 30, 2015	$54B	$54B	487	381	n/a	n/a	n/a
2013	Mar 31, 2014	$51B	$51B	472	354	n/a	n/a	n/a
2012	Mar 28, 2013	$36B	$36B	380	260	n/a	n/a	n/a
2011	Mar 30, 2012	$32B	$32B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$54B	$51B	5.4%	$32B	18.5%	487	472	n/a	n/a

Relationships

Affiliated with (9)

← NB ALTERNATIVE INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, broker-dealer, bank, common control
factForm ADV
→ NB ALTERNATIVE INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ NEUBERGER BERMAN INVESTMENT ADVISERS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ NB ALTERNATIVES ADVISERS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ NEUBERGER BERMAN ASIA LIMITEDRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ NEUBERGER BERMAN EUROPE LIMITEDRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ NEUBERGER BERMAN SINGAPORE PTE. LIMITEDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ NEUBERGER BERMAN BD LLCRegistered adviserother investment adviser, broker-dealer, bank, trust company, pooled vehicle sponsor, common control
factForm ADV
← NB ALTERNATIVE FUND MANAGEMENT LLCRegistered adviserother investment adviser, broker-dealer, bank, pooled vehicle sponsor, common control
factForm ADV

Controls (9)

← TANK, BRADLEY CURTISOwnerMANAGING DIRECTOR, CIO FIXED INCOME, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← NEUBERGER BERMAN INVESTMENT ADVISERS LLCOwnerMEMBER, ownership code E, domestic entity
Jan 4, 2016 to presentfactForm ADV
← CONTI, ROBERT JOHNOwnerPRESIDENT & CEO, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← DEMPSEY, JAMES JOwnerSENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← AMATO, JOSEPH VINCENTOwnerCEO & PRESIDENT NB HOLDINGS LLC, SOLE MEMBER OF REGISTRANT AND CHIEF INVESTMENT OFFICER-EQUITIES, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← AINSWORTH, JASON RYANOwnerMANAGING DIRECTOR, BRANCH OFFICE MANAGER, TEXAS, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← NBSH ACQUISITION, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← NEUBERGER BERMAN FIXED INCOME HOLDINGS LLCOwnerMEMBER, ownership code E, domestic entity
Jan 4, 2016 to presentfactForm ADV
← NEUBERGER BERMAN GROUP LLCOwnerHOLDING COMPANY, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Owns (3)

← ALLARD, ANDREW BRIANOwnerSENIOR VICE PRESIDENT, GENERAL COUNSEL, ownership code NA, individual
Mar 28, 2013 to presentfactForm ADV
← WILLIAMS, CHAMAINE NATHALEEOwnerSENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE - I/A, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← CETRON, BRAD ELLIOTOwnerMANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE - B/D, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV

Registered with (9)

← Patrick Lee BeamanAdvisorregistration: previous registration
Dec 18, 2008 to Dec 31, 2009factForm ADV
← MICHELE TERESA HOFFMANNAdvisorregistration: previous registration
Oct 6, 2006 to Dec 31, 2009factForm ADV
← JEFFREY PAUL NEVINSAdvisorregistration: previous registration
May 24, 2007 to Dec 31, 2009factForm ADV
← ZACHARY MICHAEL HERRERAAdvisorregistration: previous registration
Oct 29, 2009 to Dec 31, 2009factForm ADV
← ERIK RONN KIDDAdvisorregistration: previous registration
Jul 7, 2006 to May 22, 2009factForm ADV
← LYNDA ANN CASTELLANOAdvisorregistration: previous registration
May 15, 2006 to Aug 19, 2008factForm ADV
← ALLISON JOAN SALOYAdvisorregistration: previous registration
Aug 23, 2004 to Oct 31, 2007factForm ADV
← JOHN JOSEPH ZIELINSKIAdvisorregistration: previous registration
Mar 17, 2003 to Sep 18, 2007factForm ADV
← MICHAEL KENNETH KORZENKOAdvisorregistration: previous registration
Feb 13, 2007 to Mar 20, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:60ce2ae9-ed35-d1f6-cca4-a50f2f8151c9
First observed: Mar 30, 2012
Last observed: Jan 4, 2016 130 months ago
Source families: Federal regulator filings
3 registered feeds 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.

NEUBERGER BERMAN MANAGEMENT LLC

CRD 5493

NEW YORK, NY

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:60ce2ae9-ed35-d1f6-cca4-a50f2f8151c9

Data as of Jan 4, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:54 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AINSWORTH, JASON RYAN

MANAGING DIRECTOR, BRANCH OFFICE MANAGER, TEXAS

yes

05/2010

Mar 30, 2012

Jan 4, 2016

AMATO, JOSEPH VINCENT

CEO & PRESIDENT NB HOLDINGS LLC, SOLE MEMBER OF REGISTRANT AND CHIEF INVESTMENT OFFICER-EQUITIES

yes

08/2008

Mar 30, 2012

Jan 4, 2016

CONTI, ROBERT JOHN

PRESIDENT & CEO

yes

12/2008

Mar 30, 2012

Jan 4, 2016

DEMPSEY, JAMES J

SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER

yes

03/2012

Mar 30, 2012

Jan 4, 2016

NBSH ACQUISITION, LLC

Member

yes

05/2009

Mar 30, 2012

Jan 4, 2016

NEUBERGER BERMAN FIXED INCOME HOLDINGS LLC

Member

yes

01/2016

Jan 4, 2016

NEUBERGER BERMAN GROUP LLC

HOLDING COMPANY

yes

02/2009

Mar 30, 2012

Jan 4, 2016

NEUBERGER BERMAN INVESTMENT ADVISERS LLC

Member

yes

01/2016

Jan 4, 2016

TANK, BRADLEY CURTIS

MANAGING DIRECTOR, CIO FIXED INCOME

yes

12/2008

Mar 30, 2012

Jan 4, 2016

ALLARD, ANDREW BRIAN

SENIOR VICE PRESIDENT, GENERAL COUNSEL

01/2013

Mar 28, 2013

Jan 4, 2016

CETRON, BRAD ELLIOT

MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE - B/D

02/2006

Mar 30, 2012

Jan 4, 2016

WILLIAMS, CHAMAINE NATHALEE

SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE - I/A

02/2006

Mar 30, 2012

Jan 4, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NEUBERGER BERMAN INVESTMENT ADVISERS LLC

n/a

Other adviser

$399B

yes

n/a

NB ALTERNATIVES ADVISERS LLC

n/a

Other adviser

$160B

yes

n/a

NEUBERGER BERMAN EUROPE LIMITED

n/a

Asset manager

$98B

yes

n/a

NEUBERGER BERMAN SINGAPORE PTE. LIMITED

n/a

Asset manager

$29B

yes

n/a

NEUBERGER BERMAN ASIA LIMITED

n/a

Other adviser

$11B

yes

n/a

NB ALTERNATIVE INVESTMENT MANAGEMENT LLC

n/a

Former SEC adviser

$3.4B

yes

n/a

NEUBERGER BERMAN LLC

n/a

No RAUM reported

yes

n/a

City

State

Country

Employees

Also broker-dealer

SAN FRANCISCO

United States

n/a

Atlanta

United States

n/a

Chicago

United States

n/a

Boston

United States

n/a

Dallas

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 30, 2015

$54B

487

381

n/a

2013

Mar 31, 2014

$51B

472

354

n/a

2012

Mar 28, 2013

$36B

380

260

n/a

2011

Mar 30, 2012

$32B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$54B

$51B

5.4%

$32B

18.5%

487

472

n/a