{"url":"https://nivawealth.com/firms/neuberger-berman-investment-advisers-124687","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/124687","regulatoryAum":398649911459,"crd":"124687","secFileNumber":"801-61757","legalName":"Neuberger Berman Investment Advisers LLC","displayName":"Neuberger Berman Investment Advisers","website":null,"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1290 Avenue of the Americas","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10104"},"tradeNames":[],"registration":{"secApproved":"23 January 2003","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":1542,"advisory":646,"brokerDealerReps":758,"insuranceAgents":0,"promoters":20},"aum":{"discretionary":395036058282,"discretionaryAccounts":43516,"nonDiscretionary":3613853177,"nonDiscretionaryAccounts":438,"wrapProgram":5644099180,"nonUsClientsPct":2,"nonAumClients":54},"clientTypes":[{"label":"Individuals (other than HNW)","clients":24100,"regulatoryAum":8852730569},{"label":"High-net-worth individuals","clients":15676,"regulatoryAum":63035665143},{"label":"Banking or thrift institutions","clients":1,"regulatoryAum":93528361},{"label":"Investment companies","clients":72,"regulatoryAum":69734423603},{"label":"Pooled investment vehicles","clients":378,"regulatoryAum":142341395355},{"label":"Pension and profit-sharing plans","clients":710,"regulatoryAum":28486763414},{"label":"Charitable organizations","clients":991,"regulatoryAum":6000269905},{"label":"State or municipal government entities","clients":44,"regulatoryAum":27810783232},{"label":"Other investment advisers","clients":9,"regulatoryAum":3877739512},{"label":"Insurance companies","clients":62,"regulatoryAum":24051394774},{"label":"Sovereign wealth funds and foreign official institutions","clients":14,"regulatoryAum":9441618911},{"label":"Corporations and other businesses","clients":1828,"regulatoryAum":14230894485},{"label":"Other","clients":69,"regulatoryAum":692704195}],"fees":[],"feeNotes":[],"custodians":[{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Wilmington, DE","smaAssets":72151965601},{"name":"State Street Bank and Trust Company","shortName":"State Street Bank and Trust","location":"Boston, MA","smaAssets":30420352307},{"name":"The Bank of New York Mellon Corporation","shortName":"The Bank of New York Mellon","location":"New York, NY","smaAssets":19516522474},{"name":"The Northern Trust Company","shortName":"The Northern Trust","location":"Chicago, IL","smaAssets":21070007019}],"custodyNote":"Neuberger Berman Investment Advisers has custody of $43.39B for 6,227 clients.","otherCustodians":[],"leadership":[{"name":"Joseph Amato","title":"Director, President & Chief Investment Officer - Equities","crd":"2210305"},{"name":"Ashok Bhatia","title":"Director, President & Chief Investment Officer - Fixed Income","crd":"2378849"},{"name":"Brad Cetron","title":"Chief Compliance Officer - Head of Compliance and Managing Director","crd":"4040222"},{"name":"Michael Chinni","title":"Treasurer","crd":"5721816"},{"name":"Kenneth deRegt","title":"Director","crd":"1030085"},{"name":"John Kramer","title":"Director","crd":"2748043"},{"name":"Leo Viola","title":"Controller","crd":"2612736"},{"name":"Stephen Wright","title":"Director, Managing Director","crd":"4535690"}],"ownership":[{"label":"Neuberger Berman Investment Advisers Holdings LLC","detail":"Member in the 75% or more ownership band and a control person, since May 2009."},{"label":"Neuberger Berman Group LLC","detail":"Indirect owner: a member of Neuberger Berman Investment Advisers Holdings LLC in the 75% or more band and a control person, since February 2009.","parent":"Neuberger Berman Investment Advisers 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":10,"privateResidences":0},"listedOfficeAddresses":11,"officesByState":[{"state":"California","offices":2,"addresses":[{"street":"505 Sansome Street","city":"San Francisco"},{"street":"10100 Santa Monica Boulevard","city":"Los Angeles"}]},{"state":"Florida","offices":2,"addresses":[{"street":"525 Okeechobee BLVD.","city":"West Palm Beach"},{"street":"401 East Jackson Street","city":"Tampa"}]},{"state":"Georgia","offices":1,"addresses":[{"street":"3414 Peachtree Road N.E.","city":"Atlanta"}]},{"state":"Illinois","offices":2,"addresses":[{"street":"190 South Lasalle Street","city":"Chicago"},{"street":"190 South Lasalle Street","city":"Chicago"}]},{"state":"Massachusetts","offices":1,"addresses":[{"street":"53 State Street","city":"Boston"}]},{"state":"New York","offices":1,"addresses":[{"street":"1290 Avenue of the Americas","city":"New York","headquarters":true}]},{"state":"Pennsylvania","offices":1,"addresses":[{"street":"555 East Lancaster Avenue","city":"Radnor"}]},{"state":"Texas","offices":1,"addresses":[{"street":"200 Crescent Court","city":"Dallas"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-476-9000","stateRegisteredReps":618,"otherAdviserReps":618,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)","Educational seminars/workshops"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":41},{"label":"U.S. government/agency bonds","percent":13},{"label":"U.S. state and local bonds","percent":5},{"label":"Sovereign bonds","percent":4},{"label":"Investment grade corporate bonds","percent":16},{"label":"Non-investment grade corporate bonds","percent":11},{"label":"Securities issued by registered investment companies or business development companies","percent":2},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":2},{"label":"Cash and cash equivalents","percent":3},{"label":"Other","percent":3,"detail":"Bank Loans, Private Debt, Residential Mortgage Loans"}],"privateFunds":71},"sources":{"adv1FilingDate":"24 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/124687/PDF/124687.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 Investment Advisers have?","answer":"Neuberger Berman Investment Advisers has 43,954 clients and manages $398.6 billion for them, as of September 2026. They include 24,100 other individuals, 15,676 high-net-worth individuals and 1,828 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Neuberger Berman Investment Advisers offer?","answer":"Neuberger Berman Investment Advisers provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, portfolio management for institutions, selecting other managers and educational seminars.","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 Investment Advisers use?","answer":"Neuberger Berman Investment Advisers’ separately managed account assets are held at National Financial Services LLC (Wilmington, DE), with $72,151,965,601, State Street Bank and Trust Company (Boston, MA), with $30,420,352,307, The Northern Trust Company (Chicago, IL), with $21,070,007,019 and The Bank of New York Mellon Corporation (New York, NY), with $19,516,522,474. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Neuberger Berman Investment Advisers have?","answer":"Neuberger Berman Investment Advisers has 618 investment adviser representatives registered with state securities authorities, out of 1,542 employees, and 646 perform investment advisory functions. 758 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 Investment Advisers invest in?","answer":"At the end of its last fiscal year, Neuberger Berman Investment Advisers’ separately managed accounts held 41% exchange-traded equities, 16% investment grade corporate bonds, 13% U.S. government and agency bonds, 11% high-yield corporate bonds, 5% state and local bonds, 4% sovereign bonds, 3% cash and equivalents, 3% bank loans, private debt, residential mortgage loans, 2% registered funds (mutual funds, ETFs, BDCs) and 2% pooled vehicles (private funds and similar). It advises 71 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 Investment Advisers?","answer":"Neuberger Berman Investment Advisers is owned through a chain of holding companies by NBSH Acquisition, LLC. Its direct owner is Neuberger Berman Investment Advisers Holdings LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 24 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Neuberger Berman Investment Advisers get paid?","answer":"Neuberger Berman Investment Advisers is paid through a percentage of assets under management, fixed fees 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."}