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 Loan Advisers LLC
Latest filing Mar 31, 2026
First filing on the tape Nov 23, 2016 · 18 filings
SEC status approved since Jan 3, 2017
RAUM
$4.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
13
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$4.9B as of Mar 31, 2026
Mar 29, 2018$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20180 then
Employees (5.A)3 as of Mar 31, 2026
Mar 29, 20183 then
Private funds13 as of Mar 31, 2026
Mar 29, 20184 then
RAUM -18% over the last fiscal year-7.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $379MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -18%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $2.4B, 7 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.9B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.4B for 7 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=3.0derived
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
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Neuberger Berman Loan Advisers Clo 32, Ltd. | Securitized Asset Fund | $579M | 0 | Mar 29, 2019 |
| Neuberger Berman Loan Advisers Clo 33, Ltd. | Securitized Asset Fund | $579M | 0 | Mar 30, 2020 |
| Neuberger Berman Loan Advisers Clo 26, Ltd. | Securitized Asset Fund | $514M | 0 | Mar 29, 2018 |
| Neuberger Berman Loan Advisers Clo 30, Ltd. | Securitized Asset Fund | $491M | 0 | Mar 29, 2019 |
| Neuberger Berman Loan Advisers Clo 36, Ltd. | Securitized Asset Fund | $486M | 0 | Mar 30, 2020 |
| Neuberger Berman Loan Advisers Clo 34, Ltd. | Securitized Asset Fund | $482M | 0 | Mar 30, 2020 |
| Neuberger Berman Loan Advisers Clo 31, Ltd. | Securitized Asset Fund | $481M | 0 | Mar 30, 2020 |
| Neuberger Berman Loan Advisers Clo 35, Ltd. | Securitized Asset Fund | $481M | 0 | Mar 30, 2020 |
| Neuberger Berman Loan Advisers Clo 29, Ltd. | Securitized Asset Fund | $479M | 0 | Mar 29, 2019 |
| Neuberger Berman Loan Advisers Clo 28, Ltd. | Securitized Asset Fund | $471M | 0 | Mar 29, 2019 |
| Neuberger Berman Loan Advisers Clo 25, Ltd. | Securitized Asset Fund | $467M | 0 | Mar 29, 2018 |
| Neuberger Berman Loan Advisers Clo 24, Ltd. | Securitized Asset Fund | $446M | 0 | Mar 29, 2018 |
| Neuberger Berman Loan Advisers Clo 27, Ltd. | Securitized Asset Fund | $442M | 0 | Mar 29, 2018 |
Owners and control persons
Schedule A and B, latest filing
- Kumar Ashok Bhatia · Director, Managing Director And Chief Executive Officercontrolsince 06/2024 · owns less than 5%
- Faris Anne Brennan · Director And Managing Directorcontrolsince 06/2024 · owns less than 5%
- M Kenneth Deregt · Director And Managing Directorcontrolsince 09/2021 · owns less than 5%
- Gregory Stephen Wright · Director And Managing Directorcontrolsince 01/2019 · owns less than 5%
- Brian Lord · Chief Compliance Officer, Assistant Secretary And Senior Vice Presidentsince 09/2016 · owns less than 5%
Entity owners
- Neuberger Berman Loan Advisers Holdings LP · 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
- Neuberger Berman Investment Advisers Holdings LLC · Memberindirect · owns 75% or more of Neuberger Berman Investment Advisers LLC
- Neuberger Berman Investment Advisers LLC · Limited Partner, Memberindirect · owns F of Neuberger Berman Loan Advisers Holdings LP, Neuberger Berman Loan Advisers Holdings Gp LLC
- Neuberger Berman Loan Advisers Holdings Gp LLC · General Partnerindirect · owns F of Neuberger Berman Loan Advisers Holdings LP, Nbla Holdings (Delaware) LP, Nbla Holdings (Cayman) LP
- The Northern Trust Company · Trusteeindirect · owns F of Lockheed Martin Corporation Master Retirement Trust
- Lockheed Martin Corporation Master Retirement Trust · Limited Partnerindirect · owns 25% to 50% of Neuberger Berman Loan Advisers Holdings (Cayman) LP
- Neuberger Berman Loan Advisers Holdings (Cayman) LP · Limited Partnerindirect · owns 25% to 50% of Neuberger Berman Loan Advisers Holdings LP
- Neuberger Berman Loan Advisers Holdings (Delaware) LP · Limited Partnerindirect · owns 25% to 50% of Neuberger Berman Loan Advisers Holdings LP
- New York State Common Retirement Fund · Limited Partnerindirect · owns 75% or more of Neuberger Berman Loan Advisers Holdings (Delaware) LP
- The Ohio State University · Limited Partnerindirect · owns 25% to 50% of Neuberger Berman Loan Advisers Holdings (Cayman) LP
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 Canada Ulcinvestment adviserbankpooled vehicle sponsornRAUM $12B
- Neuberger Berman Europe Limitedinvestment adviserbankpooled vehicle sponsornRAUM $98B
- Neuberger Berman Investment Advisers LLCinvestment adviserbankpooled vehicle sponsoryRAUM $399B
- Neuberger Berman Loan Advisers Holdings Gp LLCpooled vehicle sponsorn
- Neuberger Berman Loan Advisers II LLCinvestment advisernRAUM $9.0B
- Neuberger Berman Loan Advisers IV LLCinvestment advisernRAUM $6.1B
- Neuberger Berman Singapore Pte. Limitedinvestment adviserbanknRAUM $29B
Advisers that list Neuberger Berman Loan Advisers LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- Assets in custody · $3.5B to $2.4BMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $6.0B to $4.9BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $6.0B to $4.9BMar 31, 2025 to Mar 31, 2026
- RAUM · $6.0B to $4.9BMar 31, 2025 to Mar 31, 2026
- Assets in custody · unset to 3520528916.0Oct 2, 2024 to Mar 31, 2025
- Custody of client assets · false to trueOct 2, 2024 to Mar 31, 2025
- Financial planning clients · unset to Oct 2, 2024 to Mar 31, 2025
- Discretionary RAUM · $6.4B to $6.0BOct 2, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $6.4B to $6.0BOct 2, 2024 to Mar 31, 2025
- RAUM · $6.4B to $6.0BOct 2, 2024 to Mar 31, 2025
- Discretionary RAUM · $6.3B to $6.4BMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $6.3B to $6.4BMar 31, 2023 to Mar 28, 2024
- RAUM · $6.3B to $6.4BMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $6.7B to $6.3BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $6.7B to $6.3BMar 31, 2022 to Mar 31, 2023
- RAUM · $6.7B to $6.3BMar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $6.6B to $6.7BJul 8, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $6.6B to $6.7BJul 8, 2021 to Mar 31, 2022
- RAUM · $6.6B to $6.7BJul 8, 2021 to Mar 31, 2022
- Discretionary RAUM · $6.7B to $6.6BMar 30, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $6.7B to $6.6BMar 30, 2020 to Mar 30, 2021
- RAUM · $6.7B to $6.6BMar 30, 2020 to Mar 30, 2021
- Accounts · 9 to 13Mar 29, 2019 to Mar 30, 2020
- Pooled vehicle clients · 9 to 13Mar 29, 2019 to Mar 30, 2020
- Private funds · 8 to 13Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $3.6B to $6.7BMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $3.6B to $6.7BMar 29, 2019 to Mar 30, 2020
- RAUM · $3.6B to $6.7BMar 29, 2019 to Mar 30, 2020
- Accounts · 4 to 9Mar 29, 2018 to Mar 29, 2019
- Pooled vehicle clients · 4 to 9Mar 29, 2018 to Mar 29, 2019
- Private funds · 4 to 8Mar 29, 2018 to Mar 29, 2019
- Discretionary RAUM · $1.9B to $3.6BMar 29, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $1.9B to $3.6BMar 29, 2018 to Mar 29, 2019
- RAUM · $1.9B to $3.6BMar 29, 2018 to Mar 29, 2019
- Accounts · unset to 4.0Sep 15, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 4.0Sep 15, 2017 to Mar 29, 2018
- Other offices · unset to 1.0Sep 15, 2017 to Mar 29, 2018
- Private funds · unset to 4Sep 15, 2017 to Mar 29, 2018
- Discretionary RAUM · unset to 1892192575.0Sep 15, 2017 to Mar 29, 2018
- Non-discretionary RAUM · unset to 0.0Sep 15, 2017 to Mar 29, 2018
Signals
12 dated events
- Kumar Ashok Bhatia (Director, Managing Director And Chief Executive Officer) appeared on Schedule A of Neuberger Berman Loan Advisers LlcJul 25, 2024 · Control person joined · fact
- Anne Brennan (Director And Managing Director) appeared on Schedule A of Neuberger Berman Loan Advisers LlcJul 25, 2024 · Control person joined · fact
- Vincent Joseph Amato (Director And Managing Director) no longer on Schedule A of Neuberger Berman Loan Advisers Llc (listed 2024-03-28, absent 2024-07-25)Jul 25, 2024 · Control person left · inference
- Curtis Bradley Tank (Director, Managing Director And Chief Executive Officer) no longer on Schedule A of Neuberger Berman Loan Advisers Llc (listed 2024-03-28, absent 2024-07-25)Jul 25, 2024 · Control person left · inference
- Lee Robert Eason (Director, Managing Director And Chief Operating Officer) no longer on Schedule A of Neuberger Berman Loan Advisers Llc (listed 2021-07-08, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Jay Lawrence Kohn (Director And Managing Director) no longer on Schedule A of Neuberger Berman Loan Advisers Llc (listed 2021-07-08, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- M Kenneth Deregt (Director And Managing Director) appeared on Schedule A of Neuberger Berman Loan Advisers LlcMar 31, 2022 · Control person joined · fact
- Neuberger Berman Loan Advisers Llc reported RAUM $6.7B, up 86% from $3.6B (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Neuberger Berman Loan Advisers Llc reported RAUM $3.6B, up 90% from $1.9B (2018-03-29 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Jay Lawrence Kohn (Director And Managing Director) appeared on Schedule A of Neuberger Berman Loan Advisers LlcMar 29, 2019 · Control person joined · fact
- Gregory Stephen Wright (Director And Managing Director) appeared on Schedule A of Neuberger Berman Loan Advisers LlcMar 29, 2019 · Control person joined · fact
- Neuberger Berman Loan Advisers Llc filed its initial SEC registration (Form ADV)Nov 23, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- 312-325-7700reportedpublic record, Form ADV, Mar 31, 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
- Asset manager (funds and pooled vehicles)deriveda 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