{"url":"https://nivawealth.com/firms/neuberger-berman-asia-limited-154286","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/154286","regulatoryAum":11014612193,"crd":"154286","secFileNumber":"801-71669","legalName":"Neuberger Berman Asia Limited","displayName":"Neuberger Berman Asia Limited","website":null,"founded":null,"organization":"corporation organized in Hong Kong","fiscalYearEnd":"December","headquarters":{"street":"20th Floor, Jardine House, 1 Connaught Place, Central","city":"Hong Kong","state":"","stateName":"","country":"Hong Kong","postalCode":null},"tradeNames":[],"registration":{"secApproved":"9 August 2010","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":62,"advisory":19,"brokerDealerReps":1,"insuranceAgents":0,"promoters":13},"aum":{"discretionary":11014612193,"discretionaryAccounts":28,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":100,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":9,"regulatoryAum":5718406467},{"label":"Insurance companies","clients":13,"regulatoryAum":1364109013},{"label":"Sovereign wealth funds and foreign official institutions","clients":5,"regulatoryAum":3930735971},{"label":"Other","clients":1,"regulatoryAum":1360742}],"fees":[],"feeNotes":[],"custodians":[{"name":"Jpmorgan Chase & Co.","shortName":"J.P. Morgan","location":"New York, NY","smaAssets":1752690892},{"name":"Citibank, National Association","shortName":"Citibank, National Association","location":"Sioux Falls, SD","smaAssets":3194843935}],"custodyNote":"Neuberger Berman Asia Limited does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Travis Chia","title":"Chief Compliance Officer","crd":"6276071"},{"name":"Alvin Hui","title":"Director","crd":"7828997"},{"name":"Patrick Liu","title":"Director","crd":"8034874"},{"name":"Heather Zuckerman","title":"Director","crd":"4107706"}],"ownership":[{"label":"Neuberger Berman Asia Holdings II LLC","detail":"Holding company in the 75% or more ownership band and a control person, since May 2009."},{"label":"Neuberger Berman Asia Holdings LLC","detail":"Indirect owner: a member of Neuberger Berman Asia Holdings II LLC in the 75% or more band and a control person, since May 2009.","parent":"Neuberger Berman Asia Holdings II LLC"},{"label":"Neuberger Berman Group LLC","detail":"Indirect owner: a member of Neuberger Berman Asia Holdings LLC in the 75% or more band and a control person, since May 2009.","parent":"Neuberger Berman Asia Holdings LLC"},{"label":"NBSH Acquisition, LLC","detail":"Indirect owner: a member of Neuberger Berman Group LLC in the 75% or more band and a control person, since May 2009.","parent":"Neuberger Berman Group LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"85236648800","stateRegisteredReps":1,"otherAdviserReps":1,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":63},{"label":"U.S. government/agency bonds","percent":4},{"label":"Sovereign bonds","percent":6},{"label":"Investment grade corporate bonds","percent":15},{"label":"Non-investment grade corporate bonds","percent":7},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":2},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/154286/PDF/154286.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Neuberger Berman Asia Limited have?","answer":"Neuberger Berman Asia Limited has 28 clients and manages $11 billion for them, as of March 2026. They include 13 insurance companies, 9 pooled investment vehicles and 5 sovereign wealth funds and foreign official institutions.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Neuberger Berman Asia Limited offer?","answer":"Neuberger Berman Asia Limited provides portfolio management for pooled vehicles and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Neuberger Berman Asia Limited use?","answer":"Neuberger Berman Asia Limited’s separately managed account assets are held at Citibank, National Association (Sioux Falls, SD), with $3,194,843,935 and Jpmorgan Chase & Co. (New York, NY), with $1,752,690,892. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Neuberger Berman Asia Limited have?","answer":"Neuberger Berman Asia Limited has 1 investment adviser representatives registered with state securities authorities, out of 62 employees, and 19 perform investment advisory functions. 1 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Neuberger Berman Asia Limited invest in?","answer":"At the end of its last fiscal year, Neuberger Berman Asia Limited’s separately managed accounts held 63% exchange-traded equities, 15% investment grade corporate bonds, 7% high-yield corporate bonds, 6% sovereign bonds, 4% U.S. government and agency bonds, 3% cash and equivalents and 2% pooled vehicles (private funds and similar). It advises no private funds of its own.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Neuberger Berman Asia Limited?","answer":"Neuberger Berman Asia Limited is owned through a chain of holding companies by NBSH Acquisition, LLC. Its direct owner is Neuberger Berman Asia Holdings II LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Neuberger Berman Asia Limited get paid?","answer":"Neuberger Berman Asia Limited is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}