# NEUBERGER BERMAN INVESTMENT ADVISERS LLC

NEUBERGER BERMAN INVESTMENT ADVISERS LLC of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 124687
- Type: SEC-registered investment adviser
- SEC file number: 801-61757
- Location: 1290 AVENUE OF THE AMERICAS, NEW YORK, NY, 10104
- Phone: 212-476-9000
- Latest filing: 2026-03-27
- Regulatory AUM: $398.6B
- Discretionary AUM: $395.0B
- Non-discretionary AUM: $3.6B
- Clients: 1,542
- Accounts: 43,954

## Business model

- Compensation: % of AUM, Fixed, Performance
- Clients served: High net worth, Pooled vehicles, Charities, Investment cos

## Officers, owners & control persons (41)

_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 | — |


## Disclosures (5)

| 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 |


## Private funds (73)

Mix: Hedge Fund 48 · Securitized Asset Fund 13 · Private Equity Fund 11 · Other Private Fund 1

_Showing 15 of 73 funds by gross asset value._

| Fund | Type | Formed | Owners | GAV | Min investment |
| --- | --- | --- | --- | --- | --- |
| HOMEWARD OPPORTUNITIES FUND LP | Hedge Fund | Delaware | 11 | $2.2B | — |
| NEUBERGER BERMAN U.S. EQUITY INDEX PUTWRITE FUND LLC | Hedge Fund | Delaware | 61 | $1.7B | $10.0M |
| NEUBERGER BERMAN (PF) STRATEGIC MULTI-SECTOR FIXED INCOME FUND LLC | Hedge Fund | Delaware | 25 | $1.2B | $10.0M |
| GROVE FUNDING IV LP | Hedge Fund | Cayman Islands | 5 | $961.1M | — |
| NEUBERGER BERMAN CLO XX, LTD. | Securitized Asset Fund | Cayman Islands | 0 | $488.5M | $250K |
| NBEC SPC/NBEC CLO XX SP | Securitized Asset Fund | Cayman Islands | 0 | $488.5M | $25K |
| NEUBERGER BERMAN CLO XXI, LTD. | Securitized Asset Fund | Cayman Islands | 0 | $488.2M | $250K |
| NEUBERGER BERMAN PRINCIPAL STRATEGIES MERGER ARBITRAGE MASTER FUND SCSP | Hedge Fund | Luxembourg | 5 | $458.4M | $5.0M |
| NEUBERGER BERMAN CLO XVI-S, LTD. | Securitized Asset Fund | Cayman Islands | 0 | $438.1M | $250K |
| NEUBERGER BERMAN REAL ESTATE DEBT INCOME CORE FUND B LP | Hedge Fund | Delaware | 35 | $423.7M | — |
| NEUBERGER BERMAN CLO XVII, LTD | Securitized Asset Fund | Cayman Islands | 0 | $390.5M | $250K |
| NBEC SPC/NBEC CLO XVII SP | Securitized Asset Fund | Cayman Islands | 0 | $390.5M | $50K |
| NBEC SPC/NBEC CLO XXII SP | Securitized Asset Fund | Cayman Islands | 7 | $387.6M | $25K |
| NEUBERGER BERMAN CLO XXII, LTD. | Securitized Asset Fund | Cayman Islands | 0 | $387.6M | $250K |
| NEUBERGER BERMAN RISK PARITY MASTER FUND LP | Hedge Fund | Cayman Islands | 4 | $379.9M | $250K |


## Branch offices (10)

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| CHICAGO | IL | 86 | 3123257700 |
| CHICAGO | IL | 26 | 3123257700 |
| WEST PALM BEACH | FL | 12 | 5618056001 |
| ATLANTA | GA | 7 | 4042624924 |
| DALLAS | TX | 4 | (214) 775-4674 |
| RADNOR | PA | 4 | (610) 386-4304 |
| TAMPA | FL | 4 | 813 387 3204 |
| SAN FRANCISCO | CA | 4 | 4152498005 |
| BOSTON | MA | 3 | (617) 619-4651 |
| LOS ANGELES | CA | 3 | 310 595 9107 |


## Fund service providers (20)

- administrator: U.S. BANCORP FUND SERVICES, LLC — 28 funds
- administrator: MAPLESFS — 7 funds
- administrator: BROWN BROTHERS HARRIMAN & CO. — 5 funds
- administrator: SS&C TECHNOLOGIES INC. — 5 funds
- administrator: U.S. BANK GLOBAL FUND SERVICES (CAYMAN) LIMITED — 5 funds
- administrator: U.S. BANK GLOBAL FUND SERVICES (GUERNSEY) LIMITED — 5 funds
- administrator: U.S. BANK GLOBAL USBFS (CAYMAN) LIMITED — 5 funds
- administrator: MUFG CAPITAL ANALYTICS LLC — 4 funds
- administrator: MUFG CAPITAL ANALYTICS, LLC — 4 funds
- administrator: US BANCORP FUND SERVICES, LLC — 4 funds
- administrator: STATE STREET FUND SERVICES (IRELAND) LIMITED — 3 funds
- administrator: U.S. BANK GLOBAL FUND SERVICES (IRELAND) LIMITED — 3 funds
- administrator: INTERTRUST SPV (CAYMAN) LIMITED — 2 funds
- administrator: SS&C FUND SERVICES (CAYMAN) LTD. — 2 funds
- administrator: J.P. MORGAN ADMINISTRATION SERVICES (IRELAND) LIMITED
- administrator: SS&C FUND SERVICES (CAYMAN) LTD
- administrator: SS&C TECHNOLOGIES, INC.
- administrator: U.S. BANCORP FUND SERVICES LLC
- administrator: U.S. BANCORP GLOBAL FUND SERVICES (CAYMAN) LIMITED
- administrator: U.S. BANK GLOBAL FUND SERVICES (LUXEMBOURG) S.A.R.L.

## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/124687/brochure
- Similar advisers: https://search.stillhousedata.com/firm/124687/similar
- Related entities: https://search.stillhousedata.com/firm/124687/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/124687

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.