NEUBERGER BERMAN INVESTMENT ADVISERS LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 124687). Regulatory assets under management: $398.6B.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Charities, Investment cos.
Showing 25 of 41 people.
| Name | Role | Location |
|---|---|---|
| John Douglas Kramer | DIRECTOR | New York, NY |
| Ashok Kumar Bhatia | DIRECTOR, PRESIDENT & CHIEF INVESTMENT OFFICER - FIXED INCOME | Chicago, IL |
| Joseph Vincent Amato | DIRECTOR, PRESIDENT & CHIEF INVESTMENT OFFICER - EQUITIES | — |
| Brad Elliot Cetron | CHIEF COMPLIANCE OFFICER - HEAD OF COMPLIANCE AND MANAGING DIRECTOR | — |
| Stephen Gregory Wright | DIRECTOR, MANAGING DIRECTOR | — |
| Leo Anthony Viola | CONTROLLER | — |
| Kenneth M Deregt | DIRECTOR | — |
| Michael Chinni | TREASURER | — |
| KRAMER DOUGLAS | DIRECTOR | — |
| EASON ROBERT GREEN LEE | DIRECTOR | — |
| CETRON BRAD ELLIOT | CHIEF COMPLIANCE OFFICER - HEAD OF COMPLIANCE AND MANAGING DIRECTOR | — |
| GRIEB EDWARD STEPHEN | CHIEF FINANCIAL OFFICER | — |
| TANK BRADLEY CURTIS | CEO AND DIRECTOR; CEO, DIRECTOR, MANAGING DIRECTOR; CEO, MANAGING DIRECTOR (+2 more) | — |
| KNEE RICHARD WILLIAM | CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR; DIRECTOR | — |
| LOFTUS LORI ANN | CHIEF COMPLIANCE OFFICER; SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER; VICE PRESIDENT, COMPLIANCE | — |
| AMATO JOSEPH VINCENT | DIRECTOR; DIRECTOR, MANAGING DIRECTOR; DIRECTOR, PRESIDENT - EQUITIES, CHIEF INVESTMENT OFFICER - EQUITIES (+1 more) | — |
| CONTI ROBERT JOHN | PRESIDENT - MUTUAL FUNDS AND MANAGING DIRECTOR | — |
| JANULIS THEODORE PETER | DIRECTOR; MANAGING DIRECTOR | — |
| BHATIA SUNIL KUMAR | DIRECTOR, CO-CHIEF INVESTMENT OFFICER - FIXED INCOME | — |
| KOHN LAWRENCE JAY | CHIEF OPERATING OFFICER - EQUITIES AND MANAGING DIRECTOR; DIRECTOR, CHIEF OPERATING OFFICER - EQUITIES AND MANAGING DIRECTOR; MANAGING DIRECTOR, CHIEF OPERATING OFFICER | — |
| ROSENTHAL JAMES ARTHUR | MANAGING DIRECTOR | — |
| PLOTKIN HOWARD R | CHIEF COMPLIANCE OFFICER | — |
| JOHNSON ANDREW AURELIUS | DIRECTOR; DIRECTOR, MANAGING DIRECTOR; MANAGING DIRECTOR | — |
| MEYER KENNETH RICHARD | CHAIRMAN, CEO, MANAGING DIRECTOR; CHAIRMAN, MANAGING DIRECTOR | — |
| DONOHUE JOHN CHRISTOPHER | SENIOR VICE PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-08-13 | regulatory | THE BAFIN ALLEGED THAT IN A SINGLE INSTANCE IN 2021, NBSH WILLFULLY FILED A VOTING RIGHTS NOTIFICATION OF DROPPING BELOW 3% HOLDINGS IN A GERMAN ISSUER SIX WEEKS AFTER THE FILING DEADLINE. | On Appeal | $1.6M |
| 2024-08-13 | regulatory | THE BAFIN ALLEGED THAT IN A SINGLE INSTANCE IN 2021, NBSH WILLFULLY FILED A VOTING RIGHTS NOTIFICATION OF DROPPING BELOW 3% HOLDINGS IN A GERMAN ISSUER SIX WEEKS AFTER THE FILING DEADLINE. | Final | $580K |