Asset manager · Toronto, Ontario, Canada
Neuberger Berman Canada ULC
SEC-registered investment adviser · CRD 284803 · SEC 801-108509
At a glance
Neuberger Berman Canada ULC is an SEC-registered investment adviser based in Toronto, Ontario, Canada, with $12.4 billion in regulatory assets under management as of its Form ADV filed April 14, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 2,892 individual clients. By Form ADV it is a asset manager, ranked 465th of 3,218 asset managers and 1,184th of 17,210 SEC-registered advisers by assets.
Main office 416-883-6904nb.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $12B
- Rank among asset managers
- #465 of 3,218
- Rank among all SEC RIAs
- #1,184 of 17,210
- Individual clients
- 2,892
- High-net-worth clients
- 899
- Accounts
- 3,365
- Discretionary
- 100% of AUM
- Employees
- 27
- Advisory staff
- 13
- Offices
- 1
Owners and executives on its Form ADV
- Raymond B. CarrollDirector
- Heather P. ZuckermanDirector
- Joseph Vincent AmatoDirector
- Khashif R. KhanChief Executive Officer
- Barry J GiarraputoChief Financial Officer - Alternatives
- Michael ChinniChief Financial Officer
- Christian NeiraDirector
- Henry E. RosenbergChief Compliance Officer
- Kenneth M deRegtDirector
Custody and brokerage
Broker-dealer
Hybrid RIA
Neuberger Berman Canada ULC is a hybrid RIA: 7 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Neuberger Berman BD LLC.
- Neuberger Berman BD LLC ↗CRD 2908
Its Form ADV brochure (filed March 2026) names Neuberger Berman BD as the broker-dealer its advisers are registered with.
Certain NB Salespersons are registered representatives of Neuberger Berman BD LLC (“NBBD”), an affiliate of NB Canada and a registered investment adviser and broker-dealer and member of the Financial Industry Regulatory Authority (“FINRA”).
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 899 | $4.1B | 33% |
| Pooled investment vehicles | 26 | $3.1B | 25% |
| Corporations or other businesses | 392 | $2.4B | 19% |
| Individuals | 1,993 | $796M | 6% |
| Insurance companies | 2 | $729M | 6% |
| Investment companies | 4 | $415M | 3% |
| Charitable organizations | 28 | $336M | 3% |
| Sovereign wealth funds and foreign official institutions | 2 | $305M | 2% |
| Pension and profit sharing plans | 14 | $213M | 2% |
| Other | 6 | $6M | <1% |
Private funds
Neuberger Berman Canada ULC reports 1 private funds with $358M in gross assets: hedge funds (Form ADV Item 7.B).
Disciplinary disclosures
Neuberger Berman Canada ULC answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗nb.com ↗
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Background
Questions
How much does Neuberger Berman Canada ULC manage?
Neuberger Berman Canada ULC reports $12.4 billion in regulatory assets under management across 3,365 accounts, 100% of it on a discretionary basis, on its Form ADV filed April 14, 2026.
What kind of firm is Neuberger Berman Canada ULC?
Neuberger Berman Canada ULC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Neuberger Berman Canada ULC’s clients?
By assets, its largest client types are high-net-worth individuals ($4.1 billion, 899 clients); pooled investment vehicles ($3.1 billion, 26 clients); corporations or other businesses ($2.4 billion, 392 clients).
Does Neuberger Berman Canada ULC manage private funds?
Yes. It reports 1 private funds with $358 million in gross assets, including hedge funds.
Does Neuberger Berman Canada ULC have any disciplinary history?
Neuberger Berman Canada ULC answers yes to 1 disclosure item in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Neuberger Berman Canada ULC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-04-14), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →