# NEUBERGER BERMAN ASIA LIMITED

NEUBERGER BERMAN ASIA LIMITED of HONG KONG is an SEC-registered investment adviser.

## Registration

- CRD: 154286
- Type: SEC-registered investment adviser
- SEC file number: 801-71669
- Location: 20TH FLOOR, JARDINE HOUSE, HONG KONG
- Phone: 852 3664 8800
- Latest filing: 2026-03-30
- Regulatory AUM: $11.0B
- Discretionary AUM: $11.0B
- Clients: 62
- Accounts: 28

## Business model

- Compensation: % of AUM, Performance
- Clients served: Pooled vehicles, Investment cos

## Officers, owners & control persons (18)

| Name | Role | Location |
| --- | --- | --- |
| [Heather Phyl Zuckerman](https://search.stillhousedata.com/person/704502) | DIRECTOR | — |
| [Travis Wei Heong Chia](https://search.stillhousedata.com/person/704503) | CHIEF COMPLIANCE OFFICER | — |
| [Alvin Joyue Hui](https://search.stillhousedata.com/person/704504) | DIRECTOR | — |
| [Patrick Song Liu](https://search.stillhousedata.com/person/704505) | DIRECTOR | — |
| [Heather P Zuckerman](https://search.stillhousedata.com/person/704760) | DIRECTOR | — |
| [Travis Chia](https://search.stillhousedata.com/person/725332) | CHIEF COMPLIANCE OFFICER | — |
| [ZUCKERMAN HEATHER P](https://search.stillhousedata.com/person/757752) | DIRECTOR | — |
| [HENCHMAN JASON CHRISTOPHER DAVENANT](https://search.stillhousedata.com/person/766406) | DIRECTOR; DIRECTOR AND CHIEF COMPLIANCE OFFICER; DIRECTOR AND CHIEF OPERATING OFFICER (+1 more) | — |
| [EDWARDS ROBERT JAMES](https://search.stillhousedata.com/person/774674) | DIRECTOR AND CHIEF EXECUTIVE OFFICER | — |
| [YAO YULIN](https://search.stillhousedata.com/person/800639) | DIRECTOR; MANAGING DIRECTOR | — |
| [RICE SUSAN BARNEBY](https://search.stillhousedata.com/person/800640) | DIRECTOR; DIRECTOR AND CHIEF ADMINISTRATIVE OFFICER | — |
| [SIAU YOKE LING DAWNE](https://search.stillhousedata.com/person/803623) | CHIEF COMPLIANCE OFFICER | — |
| [HUI ALVIN JOYUE](https://search.stillhousedata.com/person/817777) | DIRECTOR | — |
| [HOAR NICHOLAS JOHN FRANCIS](https://search.stillhousedata.com/person/818210) | MANAGING DIRECTOR | — |
| [CHIA TRAVIS](https://search.stillhousedata.com/person/818302) | CHIEF COMPLIANCE OFFICER | — |
| [Stothard Terry](https://search.stillhousedata.com/person/840796) | CHIEF COMPLIANCE OFFICER | — |
| [CHAO SIK KAR](https://search.stillhousedata.com/person/841964) | CHIEF COMPLIANCE OFFICER | — |
| [Heather P. Zuckerman](https://search.stillhousedata.com/person/991165) | DIRECTOR | — |


## Disclosures (4)

| 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 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/154286/brochure
- Similar advisers: https://search.stillhousedata.com/firm/154286/similar
- Related entities: https://search.stillhousedata.com/firm/154286/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/154286

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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.