DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Neuberger Berman Investment Advisers LLC
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2012 · 74 filings
SEC status approved since Jan 23, 2003
RAUM
$399B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
18%
$72B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1,542
646 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
73
reported on Schedule D
History
74 filings and snapshots on the tape
RAUM$399B as of Mar 27, 2026
Mar 30, 2012$83B then
HNW client RAUM$63B as of Mar 27, 2026
Mar 29, 2018$35B then
State-registered IARs (5.B.3)618 as of Mar 27, 2026
Mar 28, 20130 then
Employees (5.A)1,542 as of Mar 27, 2026
Mar 28, 2013194 then
Private funds73 as of Mar 27, 2026
Mar 30, 201222 then
RAUM +9.9% over the last fiscal year+8.1% a year over threeIARs 703 to 618
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $645MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $9.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 24%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 56.2derived11 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -12%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $43B, 6,227 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$142B36%
- Investment companies$70B18%
- High-net-worth individuals$63B16%
- Pension and profit-sharing plans$28B7.2%
- State and municipal entities$28B7.0%
- Insurance companies$24B6.0%
- Corporations and businesses$14B3.6%
- Sovereign wealth funds$9.4B2.4%
- Individuals$8.9B2.2%
- Charitable organizations$6.0B1.5%
- Other investment advisers$3.9B1.0%
- Banks and thrifts$93.5M0.0%
- Individual clients
- 24,100reported
- HNW clients
- 15,676reported
- Pension plan clients
- 710reported
- Charitable clients
- 991reported
- Accounts
- 43,954reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $5.6B managedreported
- Custody of client assets
- $43B for 6,227 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.18 fund_share=0.54 institutional_share=0.24 related_bd=true related_bank=true bd_reps=758.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
142 reported on Schedule D 7.B.(1)
All funds of Neuberger Berman Investment Advisers LLC
Owners and control persons
Schedule A and B, latest filing
- Vincent Joseph Amato · Director, President - Equities, Chief Investment Officer - Equitiescontrolsince 05/2006 · owns less than 5%
- Kumar Ashok Bhatia · Director, Co-Chief Investment Officer - Fixed Incomecontrolsince 06/2024 · owns less than 5%
- M Kenneth Deregt · Directorcontrolsince 05/2021 · owns less than 5%
- Douglas John Kramer · Directorcontrolsince 04/2023 · owns less than 5%
- Gregory Stephen Wright · Director, Managing Directorcontrolsince 01/2019 · owns less than 5%
- Elliot Brad Cetron · Chief Compliance Officer - Head Of Compliance And Managing Directorsince 01/2016 · owns less than 5%
- Michael Chinni · Treasurer And Senior Vice Presidentsince 06/2021 · owns less than 5%
- Anthony Leo Viola · Controller And Managing Directorsince 01/2022 · owns less than 5%
Entity owners
- Neuberger Berman Investment Advisers Holdings LLC · Memberdirect · owns 75% or more
- Nbsh Acquisition, LLC · Memberindirect · owns 75% or more of Neuberger Berman Group LLC
- Neuberger Berman Group LLC · Memberindirect · owns 75% or more of Neuberger Berman Investment Advisers Holdings LLC
Related persons
Schedule D 7.A
- Greene Street Funding LLCpooled vehicle sponsorn
- Grove Funding IV Gp LLCpooled vehicle sponsory
- Homeward Gp I LLCpooled vehicle sponsorn
- Homeward Gp LLCpooled vehicle sponsory
- Homeward Offshore Gp I Ltdpooled vehicle sponsory
- Homeward Offshore Gp Ltdpooled vehicle sponsory
- Homeward Opportunities Guernsey Gp LLCpooled vehicle sponsory
- Kantor Private Opportunities II Associates LPpooled vehicle sponsorn
- Kantor Private Opportunities III Associates LPpooled vehicle sponsorn
- Kantor Private Opportunities IV Associates LPpooled vehicle sponsorn
- Kantor Private Opportunities V Associates LPpooled vehicle sponsorn
- Kantor Private Opportunities Vi Associates LPpooled vehicle sponsorn
- Kantor Private Opportunities Vii Associates LPpooled vehicle sponsorn
- Nb Alternative Investment Management Gp LLCpooled vehicle sponsorn
- Nb Alternatives Advisers LLCinvestment adviserbankpooled vehicle sponsornRAUM $160B
- Nb Cape Co-Invest Fund I Associates LPpooled vehicle sponsorn
- Nb Cape Co-Invest Fund II Associates LPpooled vehicle sponsorn
- Nb Cape Co-Invest Fund III Associates LPpooled vehicle sponsorn
- Nb Crossover And Partner Equity Fund I Associates LPpooled vehicle sponsorn
- Nb Distressed Debt Associates Gp LLCpooled vehicle sponsorn
- Nb Distressed Debt Associates LPpooled vehicle sponsorn
- Nb Distressed Debt Offshore Associates Ltdpooled vehicle sponsorn
- Nb Equity Management Gp LLCpooled vehicle sponsorn
- Nb International Small Cap Fund Gp LLCpooled vehicle sponsorn
- Nb Japan Equity Fund Gp LLCpooled vehicle sponsorn
- Nb Opportunistic Capital Solutions Fund Gp LLCpooled vehicle sponsorn
- Nb Specialty Finance Associates LPpooled vehicle sponsorn
- Nb Strategic India Equity Fund Gp LLCpooled vehicle sponsorn
- Nbla III Associates LPpooled vehicle sponsorn
- Neuberger Berman Aifm Luxembourg Sarlinvestment adviserpooled vehicle sponsornRAUM $2.2B
Advisers that list Neuberger Berman Investment Advisers LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL76 employees
- Chicago, IL21 employees
- West Palm Beach, FL10 employees
- Dallas, TX8 employees
- Atlanta, GA8 employees
- San Francisco, CA6 employees
- Los Angeles, CA6 employees
- Radnor, PA4 employees
- Boston, MA4 employees
- Tampa, FL3 employees
What changed
consecutive filings, newest first
- Accounts · 42,905 to 43,954Nov 21, 2025 to Mar 27, 2026
- Advisory employees · 691 to 646Nov 21, 2025 to Mar 27, 2026
- BD registered reps · 879 to 758Nov 21, 2025 to Mar 27, 2026
- Charity clients · 969 to 991Nov 21, 2025 to Mar 27, 2026
- Corporate clients · 1,809 to 1,828Nov 21, 2025 to Mar 27, 2026
- HNW clients · 14,704 to 15,676Nov 21, 2025 to Mar 27, 2026
- Individual clients · 24,017 to 24,100Nov 21, 2025 to Mar 27, 2026
- Pension plan clients · 763 to 710Nov 21, 2025 to Mar 27, 2026
- Pooled vehicle clients · 366 to 378Nov 21, 2025 to Mar 27, 2026
- Assets in custody · $38B to $43BNov 21, 2025 to Mar 27, 2026
- Employees · 1,668 to 1,542Nov 21, 2025 to Mar 27, 2026
- Insurance-licensed employees · 703 to 618Nov 21, 2025 to Mar 27, 2026
- State-registered IARs · 703 to 618Nov 21, 2025 to Mar 27, 2026
- Private funds · 71 to 73Nov 21, 2025 to Mar 27, 2026
- Discretionary RAUM · $355B to $395BNov 21, 2025 to Mar 27, 2026
- HNW RAUM · $56B to $63BNov 21, 2025 to Mar 27, 2026
- Individual RAUM · $8.8B to $8.9BNov 21, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $7.2B to $3.6BNov 21, 2025 to Mar 27, 2026
- Pension RAUM · $30B to $28BNov 21, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $128B to $142BNov 21, 2025 to Mar 27, 2026
- RAUM · $363B to $399BNov 21, 2025 to Mar 27, 2026
- Wrap assets (manager) · $5.9B to $5.6BNov 21, 2025 to Mar 27, 2026
- Advisory activities · 7 to 6May 29, 2025 to Nov 21, 2025
- Private funds · 69 to 71May 29, 2025 to Nov 21, 2025
- Private funds · 76 to 69Mar 28, 2025 to May 29, 2025
- Financial planning clients · unset to Mar 28, 2025 to May 29, 2025
- Accounts · 41,354 to 42,905Dec 18, 2024 to Mar 28, 2025
- Charity clients · 919 to 969Dec 18, 2024 to Mar 28, 2025
- Corporate clients · 1,794 to 1,809Dec 18, 2024 to Mar 28, 2025
- HNW clients · 13,371 to 14,704Dec 18, 2024 to Mar 28, 2025
- Individual clients · 23,869 to 24,017Dec 18, 2024 to Mar 28, 2025
- Pension plan clients · 758 to 763Dec 18, 2024 to Mar 28, 2025
- Pooled vehicle clients · 359 to 366Dec 18, 2024 to Mar 28, 2025
- Assets in custody · $13B to $38BDec 18, 2024 to Mar 28, 2025
- Discretionary RAUM · $330B to $355BDec 18, 2024 to Mar 28, 2025
- HNW RAUM · $48B to $56BDec 18, 2024 to Mar 28, 2025
- Individual RAUM · $8.8B to $8.8BDec 18, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $7.3B to $7.2BDec 18, 2024 to Mar 28, 2025
- Pension RAUM · $30B to $30BDec 18, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $115B to $128BDec 18, 2024 to Mar 28, 2025
Signals
9 dated events
- Curtis Bradley Tank (Director, President - Fixed Income, Chief Investment Officer - Fixed Income) no longer on Schedule A of Neuberger Berman Investment Advisers Llc (listed 2024-04-17, absent 2024-07-01)Jul 1, 2024 · Control person left · inference
- Kumar Ashok Bhatia (Director, Co-Chief Investment Officer - Fixed Income) appeared on Schedule A of Neuberger Berman Investment Advisers LlcJul 1, 2024 · Control person joined · fact
- Douglas John Kramer (Director) appeared on Schedule A of Neuberger Berman Investment Advisers LlcMar 31, 2023 · Control person joined · fact
- Motto Vanessa Rosenthal (Director) no longer on Schedule A of Neuberger Berman Investment Advisers Llc (listed 2022-12-07, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Jay Lawrence Kohn (Director, Chief Operating Officer - Equities And Managing Director) no longer on Schedule A of Neuberger Berman Investment Advisers Llc (listed 2021-11-02, absent 2021-12-08)Dec 8, 2021 · Control person left · inference
- Lee Robert Eason (Director) no longer on Schedule A of Neuberger Berman Investment Advisers Llc (listed 2021-11-02, absent 2021-12-08)Dec 8, 2021 · Control person left · inference
- Aurelius Andrew Johnson (Director, Managing Director) no longer on Schedule A of Neuberger Berman Investment Advisers Llc (listed 2018-09-27, absent 2019-01-15)Jan 15, 2019 · Control person left · inference
- Gregory Stephen Wright (Director, Managing Director) appeared on Schedule A of Neuberger Berman Investment Advisers LlcJan 15, 2019 · Control person joined · fact
- Neuberger Berman Fixed Income Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 28, 2014 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- Neuberger Berman Investment Advisers LLC · Independent Sponsorsshared crd · capital_provider
- Neuberger Berman Investment Advisers LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/neuberger-bermanreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/nbprivatewealthreportedpublic record, Form ADV, Sep 17, 2026
- Website
- nb.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-476-9000reportedpublic record, Form ADV, Mar 27, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026