# NEUBERGER BERMAN BD LLC

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

## Registration

- CRD: 2908
- Type: SEC-registered investment adviser
- SEC file number: 801-3908
- Location: 1290 AVENUE OF THE AMERICAS, NEW YORK, NY, 10104
- Phone: 212-476-9000
- Latest filing: 2026-03-27
- Clients: 1,087

## Business model

- Compensation: % of AUM
- Clients served: Charities

## Officers, owners & control persons (32)

_Showing 25 of 32 people._

| Name | Role | Location |
| --- | --- | --- |
| Michael Chinni | CHIEF FINANCIAL OFFICER | — |
| Brad Elliot Cetron | CHIEF COMPLIANCE OFFICER | — |
| Joseph Vincent Amato | PRESIDENT, CHIEF EXECUTIVE OFFICER | — |
| Lorin Fred Henton | MANAGING DIRECTOR, BRANCH OFFICE MANAGER, TEXAS | — |
| MATZA ROBERT | EXECUTIVE VICE PRES. AND CHIEF ADMIN. OFFICER; EXECUTIVE VICE PRES. AND CHIEF OPERATING OFFICER; EXECUTIVE VICE PRES. AND CHIEF OPERATIONS OFFICER (+1 more) | — |
| DOROGOFF JOHN ALEXANDER | CHIEF OPERATIONS OFFICER; CHIEF OPERATIONS OFFICER,CHIEF FINANCIAL OFFICER AND TREASURER; MANAGING DIRECTOR, CHIEF OF OPERATIONS ,CHIEF FINANCIAL OFFICER AND TREASURER | — |
| LANE JEFFREY BRUCE | CHAIRMAN; CHAIRMAN, PRESIDENT & CHIEF OPERATING OFFICER; PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| SUNDMAN PETER ERIC | EXECUTIVE VICE PRESIDENT; MANAGING DIRECTOR | — |
| RIVKIN JACK LEON | EXECUTIVE VICE PRESIDENT; MANAGING DIRECTOR | — |
| FIRTH ROBERT JOSEPH | BRANCH OFFICE MANAGER; BRANCH OFFICE MANAGER, TEXAS | — |
| CETRON BRAD ELLIOT | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR; CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR, DEPUTY GENERAL COUNSEL; CHIEF COMPLIANCE OFFICER, SR. VICE PRESIDENT, ASSOCIATE GENERAL COUNSEL (+5 more) | — |
| GRIEB EDWARD STEPHEN | CHIEF FINANCIAL OFFICER AND TREASURER | — |
| BORGOGELLI DONNA | COMPLIANCE REGISTERED OPTIONS PRINCIPAL, SENIOR REGISTERED OPTIONS PRINCIPAL | — |
| TANK BRADLEY CURTIS | MANAGING DIRECTOR; MANAGING DIRECTOR & CHIEF INVESTMENT OFFICER-FIXED INCOME | — |
| AMATO JOSEPH VINCENT | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER-EQUITIES; MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER-EQUITIES (+3 more) | — |
| RICK SAMANTHA | DIRECTOR OF COMPLIANCE | — |
| LEOPOLD KENNETH ELLIOTT | CHEIF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER | — |
| STEIGER HEIDI L | EXECUTIVE VICE PRESIDENT | — |
| STADLER MATTHEW SCOTT | CFO / MANAGING DIRECTOR AND TREASURER; CFO/SENIOR VICE PRESIDENT | — |
| CREPEAU ALEXANDRE F | CHIEF OPERATIONS OFFICER | — |
| HANDWERKER KEVIN | CAO/GENERAL COUNSEL; CHEIF LEGAL OFFICER; CHIEF LEGAL OFFICER (+1 more) | — |
| MAURER JEFFREY S | EXECUTIVE VICE PRESIDENT | — |
| KASSEN MICHAEL MARGOLIS | EXECUTIVE VICE PRESIDENT | — |
| SCHNEIDER HEIDI LOU | EXECUTIVE VICE PRESIDENT | — |
| HERLIHY JOSEPH KEVIN | CHEIF OPERATIONS OFFICER; CHIEF OPERATIONS OFFICER | — |


## Disclosures (2)

| 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 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/2908/brochure
- Similar advisers: https://search.stillhousedata.com/firm/2908/similar
- Related entities: https://search.stillhousedata.com/firm/2908/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/2908

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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.