Private fund adviser · Chicago, IL
Neuberger Berman Loan Advisers IV LLC
SEC-registered investment adviser · CRD 324282 · SEC 801-127324
At a glance
Neuberger Berman Loan Advisers IV LLC is an SEC-registered investment adviser based in Chicago, Illinois, with $6.1 billion in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 862nd of 4,686 private fund advisers and 1,850th of 17,210 SEC-registered advisers by assets.
Main office 312-325-7700nb.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $6.1B
- Rank among private fund advisers
- #862 of 4,686
- Rank among all SEC RIAs
- #1,850 of 17,210
- Rank in Illinois
- #102 of 684
- Clients
- 13
- Accounts
- 13
- Discretionary
- 100% of AUM
- Employees
- 3
- Advisory staff
- 3
- Offices
- 2
Owners and executives on its Form ADV
- Stephen G. WrightDirector and Managing Director
- Kenneth M deRegtDirector and Managing Director
- Brian LordChief Compliance Officer, Assistant Secretary and Senior Vice President
- Ashok K. BhatiaDirector, Managing Director and Chief Executive Officer
- Anne F. BrennanDirector and Managing Director
Custody and brokerage
Custodian
Neuberger Berman Loan Advisers IV LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Neuberger Berman Loan Advisers IV LLC is a hybrid RIA: 3 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 Neuberger Salespersons are registered representatives of Neuberger Berman BD LLC (“ NBBD”), an affiliate of NBLA IV and a registered investment adviser and broker-dealer and member of the Financial Industry Regulatory Authority (“FI
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 13 | $6.1B | 100% |
Private funds
Neuberger Berman Loan Advisers IV LLC reports 13 private funds with $6.1B in gross assets: securitized asset funds (Form ADV Item 7.B).
Disciplinary disclosures
Neuberger Berman Loan Advisers IV LLC 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 pooled investment vehicles
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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The full record on Neuberger Berman Loan Advisers IV LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 2 years of filings
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- Growth over one, three and five years
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- Rank against 1,252 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Neuberger Berman Loan Advisers IV LLC manage?
Neuberger Berman Loan Advisers IV LLC reports $6.1 billion in regulatory assets under management across 13 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Neuberger Berman Loan Advisers IV LLC?
Neuberger Berman Loan Advisers IV LLC is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
Who are Neuberger Berman Loan Advisers IV LLC’s clients?
By assets, its largest client types are pooled investment vehicles ($6.1 billion, 13 clients).
Does Neuberger Berman Loan Advisers IV LLC manage private funds?
Yes. It reports 13 private funds with $6.1 billion in gross assets, including securitized asset funds.
Does Neuberger Berman Loan Advisers IV LLC have any disciplinary history?
Neuberger Berman Loan Advisers IV LLC 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 Loan Advisers IV LLC’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 (2026-03-31), 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 →