NEUBERGER BERMAN CANADA ULC of TORONTO, ONTARIO is an SEC-registered investment adviser (CRD 284803). Regulatory assets under management: $12.4B.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Christian Neira | DIRECTOR | New York, NY |
| Joseph Vincent Amato | DIRECTOR | — |
| Kenneth M Deregt | DIRECTOR | — |
| Michael Chinni | CHIEF FINANCIAL OFFICER | — |
| Barry J Giarraputo | CHIEF FINANCIAL OFFICER - ALTERNATIVES | — |
| Raymond Bernard Carroll | DIRECTOR | — |
| Viviana K R A Beltrametti Walker | CHIEF COMPLIANCE OFFICER | — |
| Heather P Zuckerman | DIRECTOR | — |
| Khashif Rehman Khan | CHIEF EXECUTIVE OFFICER | — |
| ARNOLD WILLIAM ALFRED | CHIEF FINANCIAL OFFICER | — |
| AMATO JOSEPH VINCENT | DIRECTOR | — |
| ZUCKERMAN HEATHER P | DIRECTOR | — |
| CARROLL RAY BERNARD | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER, DIRECTOR; DIRECTOR (+1 more) | — |
| SCHAPIRO GIDEON ILAN | VICE PRESIDENT OF RESEARCH AND TRADING | — |
| GRIFFITHS SIMON JEREMY | MANAGING PARTNER, HEAD OF RESEARCH | — |
| MAEBA FRANK SHINJI | MANAGING PARTNER, HEAD OF TRADING | — |
| DEATON PATRICK S | DIRECTOR | — |
| DUNAEVSKY EVGENY | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | — |
| DUNAEVSKY EVGENY NMN | CHIEF COMPLIANCE OFFICER AND SENIOR VICE PRESIDENT; CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | — |
| Beltrametti Walker Viviana K R A | CHIEF COMPLIANCE OFFICER | — |
| KHAN KHASHIF REHMAN | CHIEF EXECUTIVE OFFICER | — |
| Giarraputo Barry J | CHIEF FINANCIAL OFFICER - ALTERNATIVES | — |
| Heather P. Zuckerman | DIRECTOR | — |
| Henry Edward Rosenberg | 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 |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| NB BRETON HILL MULTI-STYLE PREMIA MASTER FUND LP | Hedge Fund | Cayman Islands | 5 | $358.4M | $100K |