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CRD 149873
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| NEUBERGER BERMAN GTAA I, LTD | Hedge Fund | $55.4M | May 1, 2012 | 2 | Mar 30, 2012 | reported | 021-113656 |
| NEUBERGER BERMAN GTAA UNIT TRUST | Hedge Fund | $6.2M | May 1, 2012 | 1 | Mar 30, 2012 | reported | n/a |
| NEUBERGER BERMAN GTAA FUND, LP | Hedge Fund | $4.5M | May 1, 2012 | 7 | Mar 30, 2012 | reported | 021-93791 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| AMATO, JOSEPH, VINCENT | MANAGING DIRECTOR/CO-CHIEF EXECUTIVE OFFICER AND CO-PRESIDENT | Na | yes | 01/2010 | Mar 30, 2012 | Jun 3, 2013 |
| NBSH ACQUISITION LLC | Member | D | yes | 05/2009 | Mar 30, 2012 | Jun 3, 2013 |
| NEUBERGER BERMAN FIXED INCOME HOLDINGS LLC | Member | D | yes | 05/2009 | Mar 30, 2012 | Jun 3, 2013 |
| NEUBERGER BERMAN GROUP LLC | Member | E | yes | 05/2009 | Mar 30, 2012 | Jun 3, 2013 |
| NEUBERGER BERMAN GROUP LLC | Member | E | yes | 05/2009 | Mar 30, 2012 | Jun 3, 2013 |
| NEUBERGER BERMAN HOLDINGS LLC | Member | D | yes | 05/2009 | Mar 30, 2012 | Jun 3, 2013 |
| TANK, BRADLEY, CURTIS | MANAGING DIRECTOR/ CO-CHIEF EXECUTIVE OFFICER AND CO-PRESIDENT | Na | yes | 02/2009 | Mar 30, 2012 | Jun 3, 2013 |
| D'SIDOCKY, JAMES, CHRISTIAN | SENIOR VICE PRESIDENT/GENERAL COUNSEL | Na | no | 01/2010 | Mar 30, 2012 | Jun 3, 2013 |
| LEE, WAI | MANAGING DIRECTOR | Na | no | 02/2009 | Mar 30, 2012 | Jun 3, 2013 |
| LEHMAN BROTHERS HOLDINGS INC. | Member | C | no | 10/2003 | Mar 30, 2012 | Jun 3, 2013 |
| ROSENBERG, HENRY, EDWARD | SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | Na | no | 07/2009 | Mar 30, 2012 | Jun 3, 2013 |
| SULLIVAN, RAYMOND, ARTHUR | MANAGING DIRECTOR/CHIEF OPERATING OFFICER | Na | no | 12/2010 | Mar 30, 2012 | Jun 3, 2013 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| NEUBERGER BERMAN FIXED INCOME 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 MANAGEMENT LLC | n/a | Former SEC adviser | $54B | 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 |
| NB ALTERNATIVE FUND MANAGEMENT GP LLC | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2012 | Mar 28, 2013 | $586M | $586M | 51 | 35 | n/a | 6 | $332M |
| 2011 | Mar 30, 2012 | $2.3B | $2.3B | n/a | n/a | n/a | 9 | $442M |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2012 | $586M | $2.3B | -74.6% | n/a | n/a | 51 | n/a | n/a | n/a |