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 Canada Ulc
Latest filing Apr 14, 2026
First filing on the tape Oct 5, 2016 · 27 filings
SEC status approved since Oct 24, 2016
RAUM
$12B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
39%
$4.9B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
27
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$12B as of Apr 14, 2026
Mar 24, 2017$1.6B then
HNW client RAUM$4.1B as of Apr 14, 2026
Mar 29, 2021$96.6M then
State-registered IARs (5.B.3)7 as of Apr 14, 2026
Mar 24, 20170 then
Employees (5.A)27 as of Apr 14, 2026
Mar 24, 201711 then
Private funds1 as of Apr 14, 2026
Mar 24, 20172 then
RAUM +5.5% over the last fiscal year+15% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Apr 14, 2026; every figure names its basis
- RAUM per advisor
- $1.8BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 413derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $3.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.9derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +67%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- 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 hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$4.1B33%
- Pooled investment vehicles$3.1B25%
- Corporations and businesses$2.4B19%
- Individuals$796M6.4%
- Insurance companies$729M5.9%
- Investment companies$415M3.3%
- Charitable organizations$336M2.7%
- Sovereign wealth funds$305M2.5%
- Pension and profit-sharing plans$213M1.7%
- Individual clients
- 1,993reported
- HNW clients
- 899reported
- Pension plan clients
- 14reported
- Charitable clients
- 28reported
- Accounts
- 3,365reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $554M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.39 fund_share=0.29 institutional_share=0.13 related_bd=true related_bank=true bd_reps=7.0derived
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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Nb Breton Hill Multi-Style Premia Master Fund LP | Hedge Fund | $358M | 5 | Dec 18, 2017 |
| Bhc Macro Master Fund LPno longer reported | Hedge Fund | $55.2M | 2 | Oct 5, 2016 |
| Nb Breton Hill Velocity Master Fund LPno longer reported | Hedge Fund | $25.0M | 3 | Oct 5, 2016 |
Owners and control persons
Schedule A and B, latest filing
- Vincent Joseph Amato · Directorcontrolsince 11/2017 · owns less than 5%
- Alfred William Arnold · Chief Financial Officercontrolsince 11/2017 · owns less than 5%
- Bernard Raymond Carroll · Directorcontrolsince 04/2010 · owns less than 5%
- J Barry Giarraputo · Chief Financial Officer - Alternativescontrolsince 10/2022 · owns less than 5%
- Rehman Khashif Khan · Chief Executive Officercontrolsince 03/2022 · owns less than 5%
- P. Heather Zuckerman · Directorcontrolsince 11/2017 · owns less than 5%
- K R A Viviana Beltrametti Walker · Chief Compliance Officersince 07/2018 · owns less than 5%
- Michael Chinni · Chief Financial Officersince 02/2025 · owns less than 5%
- M Kenneth Deregt · Directorsince 04/2026 · owns less than 5%
- Christian Neira · Directorsince 12/2024 · owns less than 5%
- Edward Henry Rosenberg · Chief Compliance Officersince 04/2026 · owns less than 5%
Entity owners
- Nb Acquisitionco Ulc · Shareholderdirect · owns 75% or more
- Nbsh Acquisition, LLC · Memberindirect · owns 75% or more of Neuberger Berman Group LLC
- Neuberger Berman Canada Holdings LLC · Shareholderindirect · owns 75% or more of Nb Acquisitionco Ulc
- Neuberger Berman Group LLC · Memberindirect · owns 75% or more of Neuberger Berman Canada Holdings LLC
Related persons
Schedule D 7.A
- Nb Alternatives Advisers LLCinvestment adviserbankpooled vehicle sponsornRAUM $160B
- Neuberger Berman Aifm Luxembourg Sarlinvestment adviserpooled vehicle sponsornRAUM $2.2B
- Neuberger Berman Asia Limitedinvestment adviserbankpooled vehicle sponsornRAUM $11B
- Neuberger Berman Asset Management Ireland Limitedinvestment adviserbankpooled vehicle sponsorn
- Neuberger Berman Bd LLCbroker-dealerinvestment adviserbankn
- Neuberger Berman Europe Limitedinvestment adviserbankpooled vehicle sponsornRAUM $98B
- Neuberger Berman Investment Advisers LLCinvestment adviserbankpooled vehicle sponsornRAUM $399B
- Neuberger Berman Loan Advisers II LLCinvestment advisernRAUM $9.0B
- Neuberger Berman Loan Advisers IV LLCinvestment advisernRAUM $6.1B
- Neuberger Berman Loan Advisers LLCinvestment advisernRAUM $4.9B
- Neuberger Berman Singapore Pte. Limitedinvestment adviserbanknRAUM $29B
Advisers that list Neuberger Berman Canada Ulc as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Apr 14, 2026accounts (Item 5.F.2.f) moved from 2,033.0 to 3,365.0 (+66.0%) between the annual amendments of 2025-03-31 and 2026-04-14; the peer median change was +8.0% (253 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $5B to $20B (253) · 92% percentile
- client count surgeChange between filings · filing Apr 14, 2026individual and HNW clients (Item 5.D) moved from 1,731.0 to 2,892.0 (+67.0%) between the annual amendments of 2025-03-31 and 2026-04-14; the peer median change was +6.0% (224 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $5B to $20B (224) · 93% percentile
- client mix shiftChange between filings · filing Apr 14, 2026private-client share of RAUM moved from 21.0% to 39.0% between the annual amendments of 2025-03-31 and 2026-04-14peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Apr 14, 2026ARNOLD, WILLIAM, ALFRED (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2023-05-03 and 2026-04-14peers: independent wealth managers, $5B to $20B (289)
- HNW share shiftChange between filings · filing Apr 14, 2026HNW share of RAUM moved from 17.0% to 33.0% between the annual amendments of 2025-03-31 and 2026-04-14peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 2,033 to 3,365Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 11 to 13Mar 31, 2025 to Mar 31, 2026
- Charity clients · 18 to 28Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 249 to 392Mar 31, 2025 to Mar 31, 2026
- HNW clients · 541 to 899Mar 31, 2025 to Mar 31, 2026
- Individual clients · 1,190 to 1,993Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · 3 to 14Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 25 to 26Mar 31, 2025 to Mar 31, 2026
- Assets in custody · 0.0 to unsetMar 31, 2025 to Mar 31, 2026
- Employees · 19 to 27Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $12B to $12BMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $2.0B to $4.1BMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $506M to $796MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $1.7M to $213MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $6.0B to $3.1BMar 31, 2025 to Mar 31, 2026
- RAUM · $12B to $12BMar 31, 2025 to Mar 31, 2026
- Wrap assets (manager) · $0 to $554MMar 31, 2025 to Mar 31, 2026
- Wrap assets (sponsor) · $145M to $0Mar 31, 2025 to Mar 31, 2026
- Accounts · 1,344 to 2,033Oct 2, 2024 to Mar 31, 2025
- Advisory employees · 13 to 11Oct 2, 2024 to Mar 31, 2025
- Charity clients · 17 to 18Oct 2, 2024 to Mar 31, 2025
- Corporate clients · 208 to 249Oct 2, 2024 to Mar 31, 2025
- HNW clients · 310 to 541Oct 2, 2024 to Mar 31, 2025
- Individual clients · 777 to 1,190Oct 2, 2024 to Mar 31, 2025
- Pension plan clients · 4 to 3Oct 2, 2024 to Mar 31, 2025
- Pooled vehicle clients · 23 to 25Oct 2, 2024 to Mar 31, 2025
- Employees · 22 to 19Oct 2, 2024 to Mar 31, 2025
- Financial planning clients · unset to Oct 2, 2024 to Mar 31, 2025
- HQ state · unset to Oct 2, 2024 to Mar 31, 2025
- Discretionary RAUM · $11B to $12BOct 2, 2024 to Mar 31, 2025
- HNW RAUM · $1.2B to $2.0BOct 2, 2024 to Mar 31, 2025
- Individual RAUM · $321M to $506MOct 2, 2024 to Mar 31, 2025
- Pension RAUM · $1.0M to $1.7MOct 2, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $6.6B to $6.0BOct 2, 2024 to Mar 31, 2025
- RAUM · $11B to $12BOct 2, 2024 to Mar 31, 2025
- Wrap assets (sponsor) · $0 to $145MOct 2, 2024 to Mar 31, 2025
- Accounts · 858 to 1,344May 4, 2023 to Mar 27, 2024
- Advisory employees · 12 to 13May 4, 2023 to Mar 27, 2024
- BD registered reps · 6 to 7May 4, 2023 to Mar 27, 2024
- Charity clients · 11 to 17May 4, 2023 to Mar 27, 2024
Signals
8 dated events
- S Patrick Deaton (Director) no longer on Schedule A of Neuberger Berman Canada Ulc (listed 2024-03-27, absent 2024-08-19)Aug 19, 2024 · Control person left · inference
- Neuberger Berman Canada Ulc reported RAUM $11.2B, up 37% from $8.2B (2023-05-04 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Neuberger Berman Canada Ulc reported RAUM $6.6B, up 47% from $4.5B (2021-11-05 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Rehman Khashif Khan (Chief Executive Officer) appeared on Schedule A of Neuberger Berman Canada UlcMar 31, 2022 · Control person joined · fact
- Neuberger Berman Canada Ulc reported RAUM $5.4B, up 47% from $3.7B (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Neuberger Berman Canada Ulc reported RAUM $3.0B, up 46% from $2.0B (2018-01-17 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- Breton Hill Capital Ltd reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 18, 2017 · Succession (Item 4) · fact
- Breton Hill Capital Ltd filed its initial SEC registration (Form ADV)Oct 5, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- NEUBERGER BERMAN CANADA ULC · Independent Sponsorsshared crd · intermediary
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
- Website
- NB.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 416-883-6904reportedpublic record, Form ADV, Apr 14, 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
- Wealth manager with institutional or fund businessderiveda 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