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.

Advisor moves

Departures from Neuberger Berman Bd LLC

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

Advisor	From	To	Type	Left	Registered
Mehvish Mirza	Neuberger Berman Bd LLC other	UBS Financial Services Inc. wirehouse	Other	Jul 25, 2007	Aug 26, 2022 (5511 d)
Andrew Michael Mallardi	Neuberger Berman Bd LLC other	Oppenheimer & Co. Inc. other	Other	Jul 10, 2007	May 8, 2008 (303 d)
Jeffrey Marshall Smith	Neuberger Berman Bd LLC other	Wells Fargo Investments, LLC unclassified	Other	Feb 20, 2007	Mar 7, 2007
William John Mcbride	Neuberger Berman Bd LLC other	Lehman Brothers Inc. unclassified	Other	Jan 12, 2007	Jan 3, 2007
Radoslaw Piotr Wolosiuk	Neuberger Berman Bd LLC other	Edward Jones national BD	Other	Jan 9, 2007	May 30, 2025 (6716 d)
Jane Susan Ringel	Neuberger Berman Bd LLC other	Capital Guardian Trust Company other	Other	Dec 5, 2006	Jul 10, 2009 (948 d)
Keith Larkin	Neuberger Berman Bd LLC other	Deutsche Bank Securities Inc. other	Other	Oct 10, 2006	Oct 11, 2006
Bruce Schuyler Tanous	Neuberger Berman Bd LLC other	J.P. Morgan Securities LLC wirehouse	Other	Oct 3, 2006	Apr 8, 2024 (6397 d)
Kelly Haralambie Cobb	Neuberger Berman Bd LLC other	Morgan Stanley wirehouse	Other	Aug 8, 2006	Nov 28, 2022 (5956 d)
Joanne Elizabeth Allen	Neuberger Berman Bd LLC other	Charles Schwab & Co., Inc. national BD	Other	Jul 18, 2006	Jan 25, 2017 (3844 d)
Erik Ronn Kidd	Neuberger Berman Bd LLC other	Neuberger Berman Management LLC other	Other	Jul 6, 2006	Jul 7, 2006
Jenny Vanleeuwen Harrington	Neuberger Berman Bd LLC other	Westport Capital Markets, LLC other	Other	Jun 27, 2006	Aug 29, 2006 (63 d)
Theodore Paul Giuliano	Neuberger Berman Bd LLC other	Advice And Planning Services other	Other	Apr 13, 2006	Sep 20, 2007 (525 d)
Antonio Ignarra	Neuberger Berman Bd LLC other	Ifmg Securities, Inc. unclassified	Other	Apr 13, 2006	Aug 1, 2006 (110 d)
Teresa M Forde	Neuberger Berman Bd LLC other	RBC Capital Markets, LLC national BD	Other	Mar 31, 2006	Sep 9, 2010 (1623 d)
George A Pettey	Neuberger Berman Bd LLC other	Raymond James & Associates, Inc. national BD	Other	Oct 18, 2005	Sep 30, 2024 (6922 d)
Elaine L. Sarnoff	Neuberger Berman Bd LLC other	Wells Fargo Advisors wirehouse	Other	Aug 5, 2005	Aug 6, 2013 (2923 d)
Ling Wang	Neuberger Berman Bd LLC other	Fidelity Personal And Workplace Advisors BD affiliated	Other	Aug 5, 2005	Jun 2, 2022 (6145 d)
William Howard Eggers	Neuberger Berman Bd LLC other	Credit Suisse Securities (USA) LLC other	Other	May 26, 2005	May 17, 2005
Steve Edward Kwong	Neuberger Berman Bd LLC other	Credit Suisse Securities (USA) LLC other	Other	Apr 22, 2005	Nov 2, 2006 (559 d)
Lisa Jaime Masters	Neuberger Berman Bd LLC other	Credit Suisse Securities (USA) LLC other	Other	Mar 3, 2005	May 17, 2005 (75 d)
Karen Renee Shaw	Neuberger Berman Bd LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Mar 1, 2005	Oct 27, 2005 (240 d)
Jerome Michael Madden	Neuberger Berman Bd LLC other	Securian Financial Services, Inc. other	Other	Feb 17, 2005	May 26, 2005 (98 d)
Mark William Shone	Neuberger Berman Bd LLC other	Shone Wealth Management other	Other	Jan 27, 2005	Oct 12, 2005 (258 d)
Alisa Bachana Jaffe	Neuberger Berman Bd LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jan 19, 2005	Jan 26, 2005
Christopher Matthew Hurst	Neuberger Berman Bd LLC other	Dune Capital unclassified	Other	Nov 26, 2004	Jan 26, 2005 (61 d)
Craig David Wakefield	Neuberger Berman Bd LLC other	Hitherlane Partners, LLC unclassified	Other	Sep 1, 2004	Sep 27, 2004
Jonathan Neil Woloshin	Neuberger Berman Bd LLC other	UBS Financial Services Inc. wirehouse	Other	May 12, 2004	Oct 26, 2021 (6376 d)
Bradford R. Peck	Neuberger Berman Bd LLC other	Mariner BD affiliated	Other	Mar 16, 2004	Dec 2, 2025 (7931 d)
Matthew Jeffery Hudgins	Neuberger Berman Bd LLC other	Oakbridge Partners, Ltd. other	Other	Mar 5, 2004	Sep 21, 2004 (200 d)
Benjamin Joseph Helvey	Neuberger Berman Bd LLC other	Lehman Brothers Inc. unclassified	Other	Feb 17, 2004	Feb 17, 2004
Emanuel Weintraub	Neuberger Berman Bd LLC other	Cannell & Spears LLC independent RIA	Other	Nov 6, 2003	Jul 9, 2021 (6455 d)
David A Natt	Neuberger Berman Bd LLC other	Morgan Stanley wirehouse	Other	Nov 6, 2003	Feb 21, 2019 (5586 d)
Michael Allaway	Neuberger Berman Bd LLC other	UBS Financial Services Inc. wirehouse	Other	Jun 16, 2003	May 23, 2003
Jennifer Katz Silver	Neuberger Berman Bd LLC other	Redwood Investments, LLC other	Other	Apr 2, 2003	Oct 24, 2004 (571 d)
Owen S Lyons	Neuberger Berman Bd LLC other	LPL Financial LLC other	Other	Oct 4, 2002	Jul 29, 2009 (2490 d)
Carolyn A Meske	Neuberger Berman Bd LLC other	Alliancebernstein L.P. other	Other	Oct 2, 2002	Jan 1, 2006 (1187 d)
Janet Louise Mariconti- Shabman	Neuberger Berman Bd LLC other	Pgim Investments LLC other	Other	Sep 20, 2002	Jan 24, 2003 (126 d)
Oliver Pursche	Neuberger Berman Bd LLC other	Gary Goldberg Planning Services Inc other	Other	Sep 6, 2002	Feb 8, 2005 (886 d)
Carl Vernon Ceder	Neuberger Berman Bd LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 20, 2002	Aug 16, 2002

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340 moves match.