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 Bd LLC
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2012 · 39 filings
SEC status approved since Jan 26, 1966
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
858
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1,087
775 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$0 as of Mar 27, 2026
Mar 30, 2012$90B then
HNW client RAUM: no history
State-registered IARs (5.B.3)859 as of Mar 27, 2026
Mar 28, 2013360 then
Employees (5.A)1,087 as of Mar 27, 2026
Mar 28, 2013550 then
Private funds10 as of Mar 30, 2015
Mar 30, 20126 then
RAUM n/a over the last fiscal yearIARs 820 to 859
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
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 860.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +4.8%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- selection of other advisersreportedItem 5.G
- 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
- is a broker-dealer (6.A.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=1085.0derived
Advisors registered through the firm
861 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Richard Scott Levine | Livingston, Nj | May 19, 1992 | 46 y | 0 |
| Michael William Kamen | New York, Ny | Aug 18, 1995 | 35 y | 0 |
| Seth Joseph Finkel | Tenafly, Nj | Feb 18, 1997 | 35 y | 0 |
| Brian Eugene Hahn | Chicago, Il | Dec 6, 1997 | 31 y | 0 |
| Lisa Huntley Reed | Los Angeles, Ca | Mar 29, 1999 | 28 y | 0 |
| Joseph Francis QuirkChartered Financial Analyst | San Francisco, Ca | Aug 30, 2000 | 33 y | 0 |
| Cheri Lynn Brooks | Wheaton, Il | Apr 2, 2001 | 31 y | 0 |
| Brendan Corey Roach | New York, Ny | Sep 11, 2001 | 30 y | 0 |
| Christopher Joseph Colmone | Riverside, Il | Sep 19, 2001 | 26 y | 0 |
| Joseph Walter Jurusz | New York, Ny | Jul 5, 2002 | 36 y | 0 |
| Michael Edward Dabulis | Brick, Nj | Jul 15, 2002 | 33 y | 0 |
| Francis Levy Fraenkel | New York, Ny | Jul 25, 2002 | 36 y | 0 |
| Michael Elliot Cohen | Westport, Ct | Jul 25, 2002 | 28 y | 0 |
| Lida Beth GreenbergChartered Financial Analyst | Goshen, Ct | Jul 25, 2002 | 35 y | 0 |
| Cynthia Diana Mcfadden | Glen Cove, Ny | Jul 25, 2002 | 31 y | 0 |
| Robert William Dalelio | New York, Ny | Jul 25, 2002 | 30 y | 0 |
| Daniel Peter Paduano | New York, Ny | Jul 25, 2002 | 49 y | 0 |
| William John Peterson | New York, Ny | Jul 25, 2002 | 33 y | 0 |
| Lillian Liberman Eisman | New York, Ny | Jul 25, 2002 | 45 y | 0 |
| David Sheridan Portny | New York, Ny | Jul 25, 2002 | 31 y | 0 |
| Maria Pappas | Larchmont, Ny | Jul 25, 2002 | 47 y | 0 |
| Gerald Paul Kaminsky | Woodmere, Ny | Jul 25, 2002 | 46 y | 0 |
| Charles Evans AllanChartered Financial Analyst | Summit, Nj | Jul 25, 2002 | 30 y | 0 |
| Annmarie FossCertified Financial Planner, Chartered Financial Analyst | New York, Ny | Jul 25, 2002 | 31 y | 0 |
| Michael Jon Kaminsky | Old Westbury, Ny | Jul 25, 2002 | 30 y | 0 |
| Frederick Christian ReynoldsChartered Financial Analyst | New York, Ny | Jul 25, 2002 | 32 y | 0 |
| Michael N Emmerman | New York, Ny | Jul 25, 2002 | 51 y | 0 |
| Cary Alexander Koplin | New York, Ny | Jul 25, 2002 | 34 y | 0 |
| Christopher Alan Lunnie | New York, Ny | Jul 26, 2002 | 27 y | 0 |
| John E TerzisChartered Financial Analyst | New York, Ny | Jul 26, 2002 | 32 y | 0 |
| Marvin Charles Schwartz | New York, Ny | Jul 26, 2002 | 46 y | 0 |
| Roberto Guerra | Thornwood, Ny | Jul 26, 2002 | 30 y | 0 |
| Maria Patricia Yanez | New York, Ny | Jul 26, 2002 | 32 y | 0 |
| Stephanie Janis Stiefel | New York, Ny | Jul 26, 2002 | 35 y | 0 |
| Judith Mary Vale | New York, Ny | Jul 26, 2002 | 34 y | 0 |
| John Drew Destefano | Huntington, Ny | Jul 29, 2002 | 37 y | 0 |
| John Joseph Barker | New York, Ny | Jul 30, 2002 | 32 y | 0 |
| David Iver Weiner | New York, Ny | Jul 30, 2002 | 39 y | 0 |
| Richard Sol Nackenson | Scarsdale, Ny | Sep 25, 2002 | 32 y | 0 |
| Kenneth Yasuyoshi AmanoChartered Financial Analyst | New York, Ny | Oct 8, 2002 | 26 y | 0 |
Advisor movement
21 left, 40 joined in 12 months
net +19 in 12 months1 left in 90 days15 joined in 90 daysdeparture rate 2.4% of current headcount56 left over 36 months
Left, latest
- Aron Patrick Healy to Northern Trust Investments, IncorporatedJul 10, 2026 · Other
- Romonie Permaul to Citigroup Global Markets Inc.Jun 17, 2026 · Other
- Victoria Amber Lieb to UBS Financial Services Inc.May 26, 2026 · Other
- Carlos Miguel Batista Gutierrez to Valley Wealth Managers, Inc.May 26, 2026 · Other
- Melissa Shaw-Patino to Arete Wealth Advisors, LLCMay 21, 2026 · Other
- Kodiak M Simpson to Stifel, Nicolaus & Company, IncorporatedMay 8, 2026 · Other
- Jack Robert Curcio to Iconiq Capital, LLCMar 27, 2026 · Other
- Keith Thomas Brennan to Capital Group Private Client Services, Inc.Mar 20, 2026 · Other
- Tushar Dabral to Iconiq Capital, LLCMar 12, 2026 · Other
- Meghan Elizabeth Gibney to Janney Montgomery Scott LLCFeb 20, 2026 · Other
- John Fulton Jr to Wells Fargo AdvisorsFeb 4, 2026 · Other
- Ethan James Santikul to RBC Capital Markets, LLCJan 14, 2026 · Other
- Steven Christopher Ruta to First Trust Advisors LPJan 2, 2026 · Other
- Jennifer Parks to J.P. Morgan Securities LLCDec 19, 2025 · Other
- Zack James Tracy to J.P. Morgan Securities LLCDec 5, 2025 · Other
Joined, latest
- Andrew Scott Combs from Emissary WealthSep 15, 2026 · Other
- Jeffery Wyble from Strategic Advisers LLCSep 10, 2026 · Other
- Rachel Harris from Private Advisor Group, LLCSep 1, 2026 · Other
- James Obrien from UBS Financial Services Inc.Aug 17, 2026 · Other
- Christina Marie Generoso from Morgan StanleyAug 17, 2026 · Other
- Isaac Lorenzo Zalkin from American Investors CoAug 13, 2026 · Other
- Luke Popp from LPL Financial LLCAug 11, 2026 · Other
- Christian Martinez from RBC Capital Markets, LLCAug 3, 2026 · Other
- Jack Ryan Walsh from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 22, 2026 · Other
- Michael Hart from Ameriprise Financial Services, LLCJul 17, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- Christian Alexander St. Vil from Oppenheimer & Co. Inc.Jul 16, 2026 · Other
- Andrew Bestwick from Lord, Abbett & Co. LLCJul 10, 2026 · Other
- Gregory Mcgowan from J.P. Morgan Securities LLCJun 30, 2026 · Other
- Brian Joseph Jones from Morgan StanleyJun 24, 2026 · Other
- Leslie Bruce from UBS Financial Services Inc.Jun 23, 2026 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for J.P. Morgan Securities LLCNov 22, 2022 · New York, Ny
- 2 left for Morgan StanleyAug 9, 2016 · Houston, Tx
- 2 joined from Amundi Pioneer Institutional Asset Management, Inc.Sep 29, 2015 · Boston, Ma
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Permal Nb Value Ltd.no longer reported | Other Private Fund | $28.2M | 1 | Mar 28, 2013 |
Owners and control persons
Schedule A and B, latest filing
- Joseph Vincent Amato · President, Chief Executive Officercontrolsince 07/2007 · owns less than 5%
- Brad Elliot Cetron · Chief Compliance Officer, Managing Directorsince 05/2004 · owns less than 5%
- Michael Chinni · Senior Vice President And Chief Financial Officersince 09/2019 · owns less than 5%
- Lorin Fred Henton · Senior Vice President, Branch Office Manager, Texassince 01/2019 · owns less than 5%
Entity owners
- Neuberger Berman Investment Advisers LLC · Memberdirect · owns 75% or more
- Nbsh Acquisition, LLC · Memberindirect · owns 75% or more of Neuberger Berman Group LLC
- Neuberger Berman Group LLC · Holding Companyindirect · 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
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 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 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 Bd LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 672 | 92 | 5 | ||
| Chicago, Il | 134 | 22 | 0 | ||
| Brooklyn, Ny | 36 | 4 | 0 | ||
| Dallas, Tx | 22 | 4 | 0 | ||
| Jersey City, Nj | 15 | 4 | 0 | ||
| Atlanta, Ga | 15 | 2 | 0 | ||
| San Francisco, Ca | 11 | 2 | 0 | ||
| Los Angeles, Ca | 11 | 0 | 0 | ||
| West Palm Beach, Fl | 10 | 0 | 0 | ||
| Greenwich, Ct | 10 | 2 | 0 | ||
| Long Island City, Ny | 9 | 1 | 0 | ||
| Boston, Ma | 8 | 0 | 0 | ||
| Summit, Nj | 8 | 0 | 0 | ||
| Winnetka, Il | 7 | 0 | 0 | ||
| Stamford, Ct | 7 | 2 | 1 | ||
| Redwood City, Ca | 7 | 2 | 0 | ||
| Hoboken, Nj | 6 | 0 | 2 | ||
| New Canaan, Ct | 6 | 1 | 0 | ||
| Larchmont, Ny | 6 | 0 | 0 | ||
| Rye, Ny | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 610 to 775Mar 28, 2025 to Mar 27, 2026
- BD registered reps · 1,047 to 1,085Mar 28, 2025 to Mar 27, 2026
- Employees · 1,058 to 1,087Mar 28, 2025 to Mar 27, 2026
- State-registered IARs · 820 to 859Mar 28, 2025 to Mar 27, 2026
- Accounts · unset to 0.0Oct 2, 2024 to Mar 28, 2025
- Advisory employees · 695 to 610Oct 2, 2024 to Mar 28, 2025
- BD registered reps · 1,060 to 1,047Oct 2, 2024 to Mar 28, 2025
- Employees · 1,094 to 1,058Oct 2, 2024 to Mar 28, 2025
- Financial planning clients · unset to Oct 2, 2024 to Mar 28, 2025
- Discretionary RAUM · unset to 0.0Oct 2, 2024 to Mar 28, 2025
- Non-discretionary RAUM · unset to 0.0Oct 2, 2024 to Mar 28, 2025
- RAUM · unset to 0.0Oct 2, 2024 to Mar 28, 2025
- Advisory employees · 618 to 695Jun 26, 2023 to Mar 28, 2024
- BD registered reps · 954 to 1,060Jun 26, 2023 to Mar 28, 2024
- Employees · 973 to 1,094Jun 26, 2023 to Mar 28, 2024
- State-registered IARs · 778 to 820Jun 26, 2023 to Mar 28, 2024
- Advisory employees · 560 to 618May 11, 2022 to Mar 31, 2023
- BD registered reps · 856 to 954May 11, 2022 to Mar 31, 2023
- Employees · 914 to 973May 11, 2022 to Mar 31, 2023
- State-registered IARs · 729 to 778May 11, 2022 to Mar 31, 2023
- Advisory employees · 544 to 560Feb 1, 2022 to Mar 30, 2022
- BD registered reps · 917 to 856Feb 1, 2022 to Mar 30, 2022
- Employees · 924 to 914Feb 1, 2022 to Mar 30, 2022
- Financial planning clients · 0 to unsetFeb 1, 2022 to Mar 30, 2022
- State-registered IARs · 741 to 729Feb 1, 2022 to Mar 30, 2022
- Advisory employees · 509 to 544Oct 5, 2020 to Mar 24, 2021
- BD registered reps · 835 to 917Oct 5, 2020 to Mar 24, 2021
- Employees · 840 to 924Oct 5, 2020 to Mar 24, 2021
- State-registered IARs · 686 to 741Oct 5, 2020 to Mar 24, 2021
- Advisory employees · 510 to 509Sep 26, 2019 to Mar 30, 2020
- BD registered reps · 890 to 835Sep 26, 2019 to Mar 30, 2020
- Employees · 894 to 840Sep 26, 2019 to Mar 30, 2020
- State-registered IARs · 672 to 686Sep 26, 2019 to Mar 30, 2020
- Advisory employees · 583 to 510Mar 29, 2018 to Mar 29, 2019
- BD registered reps · 882 to 890Mar 29, 2018 to Mar 29, 2019
- Employees · 888 to 894Mar 29, 2018 to Mar 29, 2019
- State-registered IARs · 554 to 672Mar 29, 2018 to Mar 29, 2019
- Advisory employees · 645 to 583Mar 31, 2017 to Mar 29, 2018
- BD registered reps · 896 to 882Mar 31, 2017 to Mar 29, 2018
- Charity clients · unset to 0.0Mar 31, 2017 to Mar 29, 2018
Signals
60 dated events
- Jan-Luca Frick registered as an investment adviser representative at Neuberger Berman Bd LlcSep 16, 2026 · Advisor registered · fact
- Andrew Scott Combs registered as an investment adviser representative at Neuberger Berman Bd LlcSep 15, 2026 · Advisor registered · fact
- Jeffrey Robert Johnson registered as an investment adviser representative at Neuberger Berman Bd LlcSep 15, 2026 · Advisor registered · fact
- Aron Patrick Healy left Neuberger Berman Bd Llc for Northern Trust Investments, Incorporated (registered 2026-07-14)Jul 10, 2026 · Advisor changed firm · fact
- Romonie Permaul left Neuberger Berman Bd Llc for Citigroup Global Markets Inc. (registered 2026-06-16)Jun 17, 2026 · Advisor changed firm · fact
- Victoria Amber Lieb left Neuberger Berman Bd Llc for Ubs Financial Services Inc. (registered 2026-06-08)May 26, 2026 · Advisor changed firm · fact
- Carlos Miguel Batista Gutierrez left Neuberger Berman Bd Llc for Valley Wealth Managers, Inc. (registered 2026-06-11)May 26, 2026 · Advisor changed firm · fact
- Melissa Shaw-Patino left Neuberger Berman Bd Llc for Arete Wealth Advisors, Llc (registered 2026-06-18)May 21, 2026 · Advisor changed firm · fact
- Kodiak M Simpson left Neuberger Berman Bd Llc for Stifel, Nicolaus & Company, Incorporated (registered 2026-09-01)May 8, 2026 · Advisor changed firm · fact
- Jack Robert Curcio left Neuberger Berman Bd Llc for Iconiq Capital, Llc (registered 2026-07-07)Mar 27, 2026 · Advisor changed firm · fact
- Keith Thomas Brennan left Neuberger Berman Bd Llc for Capital Group Private Client Services, Inc. (registered 2026-03-25)Mar 20, 2026 · Advisor changed firm · fact
- Tushar Dabral left Neuberger Berman Bd Llc for Iconiq Capital, Llc (registered 2026-08-05)Mar 12, 2026 · Advisor changed firm · fact
- Meghan Elizabeth Gibney left Neuberger Berman Bd Llc for Janney Montgomery Scott Llc (registered 2026-03-12)Feb 20, 2026 · Advisor changed firm · fact
- John Fulton Jr left Neuberger Berman Bd Llc for Wells Fargo Advisors (registered 2026-02-19)Feb 4, 2026 · Advisor changed firm · fact
- Ethan James Santikul left Neuberger Berman Bd Llc for Rbc Capital Markets, Llc (registered 2026-02-02)Jan 14, 2026 · Advisor changed firm · fact
- Steven Christopher Ruta left Neuberger Berman Bd Llc for First Trust Advisors Lp (registered 2026-03-16)Jan 2, 2026 · Advisor changed firm · fact
- Jennifer Parks left Neuberger Berman Bd Llc for J.P. Morgan Securities Llc (registered 2026-01-12)Dec 19, 2025 · Advisor changed firm · fact
- Zack James Tracy left Neuberger Berman Bd Llc for J.P. Morgan Securities Llc (registered 2026-02-03)Dec 5, 2025 · Advisor changed firm · fact
- Andrew D Schumont left Neuberger Berman Bd Llc for Mai Capital Management, Llc (registered 2025-12-03)Nov 24, 2025 · Advisor changed firm · fact
- Andrew Paul Gaebel left Neuberger Berman Bd Llc for Potomac (registered 2026-04-01)Nov 7, 2025 · Advisor changed firm · fact
- Stephen Paul Polizzi left Neuberger Berman Bd Llc for Creative Planning (registered 2025-11-06)Nov 7, 2025 · Advisor changed firm · fact
- Renee Smyth Lennon left Neuberger Berman Bd Llc for Mutual Advisors, Llc (registered 2025-10-06)Oct 3, 2025 · Advisor changed firm · fact
- Amelia Catherine Hein left Neuberger Berman Bd Llc for Grayscale Advisors (registered 2025-10-17)Oct 3, 2025 · Advisor changed firm · fact
- Andrew Berman left Neuberger Berman Bd Llc for Bny Mellon Securities Corporation (registered 2025-10-01)Sep 19, 2025 · Advisor changed firm · fact
- Maximilian S Hamburger left Neuberger Berman Bd Llc for Fisher Investments (registered 2025-09-15)Sep 12, 2025 · Advisor changed firm · fact
- Maximillian Breier left Neuberger Berman Bd Llc for Charles Schwab Investment Management, Inc (registered 2025-09-23)Sep 12, 2025 · Advisor changed firm · fact
- Christopher Scott Mueller left Neuberger Berman Bd Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-10-09)Sep 3, 2025 · Advisor changed firm · fact
- Azim Ahmed left Neuberger Berman Bd Llc for Rockefeller Capital Management (registered 2025-09-15)Sep 3, 2025 · Advisor changed firm · fact
- Zachary John Bereznak left Neuberger Berman Bd Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-07-10)Jun 10, 2025 · Advisor changed firm · fact
- Erin Catherine Noel left Neuberger Berman Bd Llc for Tcw Investment Management Company Llc (registered 2025-06-20)May 29, 2025 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Neuberger Berman BD LLC · Independent Sponsorsshared crd · intermediary
- Neuberger Berman LLC · Private Equityshared crd · intermediary
- Neuberger Berman Bd LLC · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- 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
- No RAUM reportedderiveda 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