NB ALTERNATIVES ADVISERS LLC of DALLAS, TX is an SEC-registered investment adviser (CRD 149822). Regulatory assets under management: $160.2B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance.
Clients served: Pooled vehicles, Charities, Investment cos.
| Name | Role | Location |
|---|---|---|
| Anthony David Tutrone | CHIEF EXECUTIVE OFFICER | — |
| Brien Patrick Smith | PRESIDENT | — |
| Joseph John Bertini | CHIEF COMPLIANCE OFFICER | — |
| CHRISTIANSEN DENNIS ALLEN | CHIEF COMPLIANCE OFFICER, SVP AND GENERAL COUNSEL; SENIOR VICE PRESIDENT AND SECRETARY; SENIOR VICE PRESIDENT, SECRETARY AND CHIEF COMPLIANCE OFFICER | — |
| GRIEB EDWARD STEPHEN | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER | — |
| BUSER JOHN PAUL | MANAGING DIRECTOR AND PRESIDENT; PRESIDENT | — |
| SMITH BRIEN PATRICK | MANAGING DIRECTOR AND CHIEF OPERATING OFFICER; PRESIDENT; PRESIDENT AND CHIEF OPERATING OFFICER | — |
| TUTRONE ANTHONY DAVID | CHIEF EXECUTIVE OFFICER; MANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER | — |
| KOMAROFF ANDREW STEVEN | MANAGING DIRECTOR AND CHIEF ADMINISTRATIVE OFFICER | — |
| BERTINI JOSEPH JOHN | CHIEF COMPLIANCE OFFICER | — |
| HO GARRETT SCOTT | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| REES MICHAEL DOUGLAS | MANAGING DIRECTOR AND CHIEF OPERATING OFFICER | — |
| WARD SEAN JASON | VICE PRESIDENT AND ASSISTANT SECRETARY | — |
| RICE JOSEPH BLAKE | VICE PRESIDENT AND ASSISTANT SECRETARY | — |
| NEIRA CHRISTIAN | MANAGING DIRECTOR AND CHIEF OPERATING OFFICER | — |
| REES MICHAEL DOUGLASS | MANAGING DIRECTOR AND CHIEF OPERATING OFFICER | — |
| FEDER YONAH | CHIEF COMPLIANCE OFFICER | — |
| DEATON PATRICK S | CHIEF OPERATING OFFICER | — |
| Salzberg Mark Daniel | CHIEF COMPLIANCE OFFICER | — |
| 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 ONE 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 ONE GERMAN ISSUER SIX WEEKS AFTER THE FILING DEADLINE. | Final | $580K |
| 2018-12-17 | regulatory | NBAA, WITHOUT ADMITTING OR DENYING ANY WRONGDOING, CONSENTED TO THE ENTRY OF AN ORDER BY THE SEC, WITH RESPECT TO CERTAIN OF THE DYAL FUNDS, ACCORDING TO WHICH THE DYAL FUNDS' MANAGER DID NOT APPROPRIATELY ALLOCATE A PORTION OF THE DYAL CAPITAL PARTNER'S BUSINESS SERVICES PLATFORM (THE "BSP") EXPENS… | Final | $375K |