NEUBERGER BERMAN CANADA ULC
Latest filing: Mar 31, 2025 (90 days ago)
AUM
$11,744,011,989
5% change vs. 1 year ago
78% change vs. 3 years ago
117% change vs. 5 years ago
0% change vs. 10 years ago
Employee Count
19
-14% change vs. 1 year ago
36% change vs. 3 years ago
19% change vs. 5 years ago
0% change vs. 10 years ago
Main Office
TORONTO, ONTARIO,
181 BAY STREET, TORONTO, ONTARIO, , CANADA, M5J 2V1
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $11.7 |
| Non-Discretionary | $0.0 |
| Total | $11.7 |
| Client | AUM |
|---|---|
| Retail | $2.5 |
| Pooled | $6.0 |
| Institutional | $3.3 |
| Total | $11.7 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 1,190 | $0.5 |
| Average Individual AUM | $424,986 | |
| HNW | 541 | $2.0 |
| Average HNW AUM | $3,638,610 | |
| Retail Total | 1,731 | $2.5 |
| Average Retail AUM | $1,429,360 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| NATIONAL FINANCIAL SERVICES LLC | BOSTON-MA-USA | $1.5 |
| THE BANK OF NEW YORK MELLON | NEW YORK-NY-USA | $1.1 |
| ROYAL BANK OF CANADA | TORONTO--CAN | $1.0 |
| THE NORTHERN TRUST COMPANY | CHICAGO-IL-USA | $0.6 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $5.7 |
| Retail SMA AUM | $2.5 |
| Institutional SMA AUM | $3.3 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 96% | $5.5 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 3% | $0.2 |
| Cash | 1% | $0.1 |
| Other | 0% | $0.0 |
| Total | 100% | $5.7 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| NEUBERGER BERMAN INVESTMENT ADVISERS LLC | $362.7 | 124687 | |
| NB ALTERNATIVES ADVISERS LLC | $135.0 | 149822 | |
| NEUBERGER BERMAN EUROPE LIMITED | $80.0 | 162267 | |
| NEUBERGER BERMAN SINGAPORE PTE. LIMITED | $26.1 | 167947 | |
| NEUBERGER BERMAN LOAN ADVISERS II LLC | $9.2 | 306601 | |
| NEUBERGER BERMAN ASIA LIMITED | $6.9 | 154286 | |
| NEUBERGER BERMAN LOAN ADVISERS LLC | $6.0 | 285579 | |
| NEUBERGER BERMAN LOAN ADVISERS IV LLC | $3.4 | 324282 | |
| NEUBERGER BERMAN AIFM SARL | $0.0 | 300813 | |
| NEUBERGER BERMAN ASSET MANAGEMENT IRELAND LIMITED | $0.0 | 300727 | |
| NEUBERGER BERMAN BD LLC | $0.0 | broker-dealer | 2908 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
12 active
| Name | Title |
|---|---|
| CARROLL, RAYMOND, BERNARD | DIRECTOR |
| ARNOLD, WILLIAM, ALFRED | CHIEF FINANCIAL OFFICER |
| BELTRAMETTI WALKER, VIVIANA, K R A | CHIEF COMPLIANCE OFFICER |
| ZUCKERMAN, HEATHER, P. | DIRECTOR |
| AMATO, JOSEPH, VINCENT | DIRECTOR |
| KHAN, KHASHIF, REHMAN | CHIEF EXECUTIVE OFFICER |
| DEATON, PATRICK, S | DIRECTOR |
| GIARRAPUTO, BARRY, J | CHIEF FINANCIAL OFFICER - ALTERNATIVES |
ADVDB.CO • SOURCE: SEC
Representatives
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-06-02 | $11.7 | $0.0 | 0% | 19 | 0 | 0% |
| 2025-04-21 | $11.7 | $0.0 | 0% | 19 | 0 | 0% |
| 2024-04-02 | $11.2 | $0.6 | 5% | 22 | -3 | -14% |
| 2023-04-04 | $8.2 | $3.6 | 44% | 19 | 0 | 0% |
| 2022-04-01 | $6.6 | $5.1 | 78% | 14 | 5 | 36% |
| 2021-04-05 | $4.5 | $7.3 | 162% | 17 | 2 | 12% |
| 2020-04-01 | $5.4 | $6.3 | 117% | 16 | 3 | 19% |
| 2019-04-01 | $3.7 | $8.1 | 220% | 19 | 0 | 0% |
| 2018-04-02 | $3.0 | $8.8 | 296% | 15 | 4 | 27% |
| 2017-04-01 | $1.6 | $10.1 | 616% | 11 | 8 | 73% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV