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.
Former SEC-registered adviser
Neuberger Berman Aifm Luxembourg Sarl
Latest filing Nov 18, 2019
First filing on the tape Nov 18, 2019 · 1 filings
RAUM
$2.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.4%
$9.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
44
33 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
9
$2.8B gross assets
History
1 filings and snapshots on the tape
RAUM: $2.2B
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 44
Private funds: 9
Practice profile
derived from the filing of Nov 18, 2019; 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
- $19.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$859M38%
- Pooled investment vehicles$823M37%
- Banks and thrifts$232M10%
- Pension and profit-sharing plans$163M7.3%
- Corporations and businesses$75.3M3.4%
- State and municipal entities$55.5M2.5%
- Charitable organizations$25.5M1.1%
- Individuals$9.4M0.4%
- Other investment advisers$555,0000.0%
- Individual clients
- 24reported
- HNW clients
- n/areported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 115reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
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
28 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- Grainne Alexander · Independent Directorcontrolsince 01/2019 · owns less than 5%
- Michele Green · Director And General Counselcontrolsince 11/2018 · owns less than 5%
- Charles Frazer James Harvey · Directorcontrolsince 11/2018 · owns less than 5%
- Nick Styman · Chief Compliance Officercontrolsince 11/2018 · owns less than 5%
- Dirk Van Lomwel · Directorcontrolsince 01/2019 · owns less than 5%
Entity owners
- Neuberger Berman Europe Limited · Sole Shareholderdirect · owns 75% or more
- Nbeh Limited · Ownerindirect · owns 75% or more of Neuberger Berman Europe Limited
- Nbsh Acquisition LLC · Memberindirect · owns 75% or more of Neuberger Berman Group LLC
- Neuberger Berman Europe Holdings II LLC · Ownerindirect · owns 75% or more of Nbeh Limited
- Neuberger Berman Europe Holdings LLC · Memberindirect · owns 75% or more of Neuberger Berman Europe Holdings II LLC
- Neuberger Berman Group LLC · Memberindirect · owns 75% or more of Neuberger Berman Europe Holdings LLC
Related persons
Schedule D 7.A
- Bhc Macro Investment Management LLCinvestment adviserbankpooled vehicle sponsorn
- Nb Alternatives Advisers LLCinvestment adviserbankpooled vehicle sponsornRAUM $160B
- Neuberger Berman Aifm Limitedinvestment adviserbankpooled vehicle sponsorn
- Neuberger Berman Asia Limitedinvestment adviserbankpooled vehicle sponsornRAUM $11B
- Neuberger Berman Asset Management Ireland Limitedinvestment advisern
- Neuberger Berman Bd LLCbroker-dealerinvestment adviserbankn
- Neuberger Berman Canada Ulcinvestment adviserbanknRAUM $12B
- Neuberger Berman Europe Limitedinvestment adviserbankpooled vehicle sponsoryRAUM $98B
- Neuberger Berman Investment Advisers LLCinvestment adviserbankpooled vehicle sponsornRAUM $399B
- Neuberger Berman Loan Advisers LLCinvestment adviseryRAUM $4.9B
- Neuberger Berman Singapore Pte. Limitedinvestment adviserbanknRAUM $29B
Advisers that list Neuberger Berman Aifm Luxembourg Sarl as a related person
Offices
Schedule D 1.F, the 25 largest
- Milan, Italy18 employees
- Milan, Italy10 employees
- Roma, Italy3 employees
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- Neuberger Berman Aifm Luxembourg Sarl filed its initial SEC registration (Form ADV)Nov 18, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Neuberger Berman Aifm Luxembourg Sarl · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- NB.com.EU/EN/LU/institutionsreportedpublic record, Form ADV, Sep 17, 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
- Former SEC-registered 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