NEUBERGER BERMAN LOAN ADVISERS IV LLC of CHICAGO, IL is an SEC-registered investment adviser (CRD 324282). Regulatory assets under management: $6.1B.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Ashok Kumar Bhatia | DIRECTOR, MANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER | Chicago, IL |
| Stephen Gregory Wright | DIRECTOR AND MANAGING DIRECTOR | — |
| Kenneth M Deregt | DIRECTOR AND MANAGING DIRECTOR | — |
| Brian Lord | CHIEF COMPLIANCE OFFICER, ASSISTANT SECRETARY AND SENIOR VICE PRESIDENT | — |
| Anne Faris Brennan | DIRECTOR AND MANAGING DIRECTOR | — |
| TANK BRADLEY CURTIS | DIRECTOR, MANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER | — |
| AMATO JOSEPH VINCENT | DIRECTOR AND MANAGING DIRECTOR | — |
| BHATIA SUNIL KUMAR | DIRECTOR, MANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER | — |
| LORD BRIAN | CHIEF COMPLIANCE OFFICER, ASSISTANT SECRETARY AND SENIOR VICE PRESIDENT | — |
| WRIGHT STEPHEN GREGORY | DIRECTOR AND MANAGING DIRECTOR | — |
| deRegt Kenneth M | DIRECTOR AND MANAGING DIRECTOR | — |
| Brennan Anne | DIRECTOR AND MANAGING DIRECTOR | — |
| Brennan Anne Faris | DIRECTOR AND MANAGING DIRECTOR | — |
| 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 |