NEUBERGER BERMAN AIFM SARL

NEUBERGER BERMAN AIFM SARL of LUXEMBOURG is an SEC exempt reporting adviser (CRD 300813).

Registration

Officers, owners & control persons (22)

NameRoleLocation
Francesco MogliaDIRECTOR AND CEOLuxembourg, N4
Giacomo BarchettaCONDUCTING OFFICER FINANCESLuxembourg, N4
Stanislas Jose Francois Kervyn De Marcke Ten DriesscheCONDUCTING OFFICER COMPLIANCE; CONDUCTING OFFICER COMPLIANCE AND RISK—
Gregory Camille BeltrameDIRECTOR—
Yeqi DingCONDUCTING OFFICER FUND ADMINISTRATION—
Waldemar DietrichCONDUCTING OFFICER MARKETING—
Barry J GiarraputoDIRECTOR—
Francois Yves WateletCONDCUTING OFFICER—
VAN SETTEN LODEWIJK DIRKDIRECTOR—
STYMAN NICKCHIEF COMPLIANCE OFFICER—
DEATON PATRICK SDIRECTOR—
GREEN MICHELEDIRECTOR AND GENERAL COUNSEL—
HARVEY JAMES CHARLES FRAZERDIRECTOR—
ALEXANDER GRAINNEINDEPENDENT DIRECTOR—
Magee Michael JosephDIRECTOR—
SCHUMMER LAURENTDIRECTOR—
MOGLIA FRANCESCODIRECTOR AND CEO—
KERVYN DE MARCKE TEN DRIESSCHE STANISLAS JOSE FRANCOISCONDUCTING OFFICER COMPLIANCE AND RISK—
BARCHETTA GIACOMOCONDUCTING OFFICER FINANCES—
beltrame gregory camilleDIRECTOR—
Ding YeqiCONDUCTING OFFICER FUND ADMINISTRATION—
Dietrich WaldemarCONDUCTING OFFICER MARKETING—

Disclosures (3)

InitiatedTypeAllegationsStatusAmount
2024-08-13regulatoryTHE 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
2024-08-13regulatoryTHE 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

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