{"url":"https://nivawealth.com/firms/neuberger-berman-canada-ulc-284803","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/284803","regulatoryAum":12393087315,"crd":"284803","secFileNumber":"801-108509","legalName":"Neuberger Berman Canada Ulc","displayName":"Neuberger Berman Canada Ulc","website":null,"founded":null,"organization":"corporation organized in Canada","fiscalYearEnd":"December","headquarters":{"street":"181 Bay Street, Suite 815","city":"Toronto, Ontario","state":"","stateName":"","country":"Canada","postalCode":"M5J 2V1"},"tradeNames":[],"registration":{"secApproved":"24 October 2016","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":27,"advisory":13,"brokerDealerReps":7,"insuranceAgents":0,"promoters":1},"aum":{"discretionary":12393087315,"discretionaryAccounts":3365,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":553940272,"nonUsClientsPct":10,"nonAumClients":2},"clientTypes":[{"label":"Individuals (other than HNW)","clients":1993,"regulatoryAum":796379909},{"label":"High-net-worth individuals","clients":899,"regulatoryAum":4054149991},{"label":"Investment companies","clients":4,"regulatoryAum":414627827},{"label":"Pooled investment vehicles","clients":26,"regulatoryAum":3124694451},{"label":"Pension and profit-sharing plans","clients":14,"regulatoryAum":212669292},{"label":"Charitable organizations","clients":28,"regulatoryAum":336156245},{"label":"Insurance companies","clients":2,"regulatoryAum":728985017},{"label":"Sovereign wealth funds and foreign official institutions","clients":2,"regulatoryAum":305044493},{"label":"Corporations and other businesses","clients":392,"regulatoryAum":2414676686},{"label":"Other","clients":6,"regulatoryAum":5703404}],"fees":[],"feeNotes":[],"custodians":[{"name":"The Bank of New York Mellon Corporation","shortName":"The Bank of New York Mellon","location":"New York, NY","smaAssets":2272147303},{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":3771912231}],"custodyNote":"Neuberger Berman Canada Ulc has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Khashif Khan","title":"Chief Executive Officer","crd":"7531110"},{"name":"Michael Chinni","title":"Chief Financial Officer","crd":"5721816"},{"name":"Barry Giarraputo","title":"Chief Financial Officer - Alternatives","crd":"4132675"},{"name":"Henry Rosenberg","title":"Chief Compliance Officer","crd":"4832286"},{"name":"Joseph Amato","title":"Director","crd":"2210305"},{"name":"Raymond Carroll","title":"Director","crd":"5863755"},{"name":"Kenneth deRegt","title":"Director","crd":"1030085"},{"name":"Christian Neira","title":"Director","crd":"5855349"},{"name":"Heather Zuckerman","title":"Director","crd":"4107706"}],"ownership":[{"label":"NB Acquisitionco Ulc","detail":"Shareholder in the 75% or more ownership band and a control person, since November 2017."},{"label":"Neuberger Berman Canada Holdings LLC","detail":"Indirect owner: a shareholder of NB Acquisitionco Ulc in the 75% or more band and a control person, since November 2017.","parent":"NB Acquisitionco Ulc"},{"label":"Neuberger Berman Group LLC","detail":"Indirect owner: a member of Neuberger Berman Canada Holdings LLC in the 75% or more band and a control person, since November 2017.","parent":"Neuberger Berman Canada 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":"416-883-6904","stateRegisteredReps":7,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","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":97},{"label":"Securities issued by registered investment companies or business development companies","percent":1},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":1},"sources":{"adv1FilingDate":"14 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/284803/PDF/284803.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 Canada Ulc have?","answer":"Neuberger Berman Canada Ulc has 3,366 clients and manages $12.4 billion for them, as of April 2026. They include 1,993 other individuals, 899 high-net-worth individuals and 392 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 14 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Neuberger Berman Canada Ulc offer?","answer":"Neuberger Berman Canada Ulc provides portfolio management for individuals and small businesses, 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 Canada Ulc use?","answer":"Neuberger Berman Canada Ulc’s separately managed account assets are held at National Financial Services LLC (Boston, MA), with $3,771,912,231 and The Bank of New York Mellon Corporation (New York, NY), with $2,272,147,303. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 14 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Neuberger Berman Canada Ulc have?","answer":"Neuberger Berman Canada Ulc has 7 investment adviser representatives registered with state securities authorities, out of 27 employees, and 13 perform investment advisory functions. 7 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 Canada Ulc invest in?","answer":"At the end of its last fiscal year, Neuberger Berman Canada Ulc’s separately managed accounts held 97% exchange-traded equities, 1% registered funds (mutual funds, ETFs, BDCs), 1% pooled vehicles (private funds and similar) and 1% cash and equivalents. It advises 1 private funds.","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 Canada Ulc?","answer":"Neuberger Berman Canada Ulc is owned through a chain of holding companies by NBSH Acquisition, LLC. Its direct owner is NB Acquisitionco Ulc (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 14 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Neuberger Berman Canada Ulc get paid?","answer":"Neuberger Berman Canada Ulc 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."}