Neuberger Berman Canada Ulc
- Regulatory AUM
- $12.4B
- Discretionary
- $12.4B
- Clients
- 3,366
- Avg AUM / client
- $3.7M
- Accounts
- 3,365
- Employees
- 27
AUM over time
Annual snapshots from Form ADV filings · as of Apr 14, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,993 | $796M | 6.43% |
| High net worth individuals | 899 | $4.1B | 32.7% |
| Investment companies | 4 | $415M | 3.35% |
| Pooled investment vehicles (non-investment companies) | 26 | $3.1B | 25.2% |
| Pension and profit sharing plans | 14 | $213M | 1.72% |
| Charitable organizations | 28 | $336M | 2.71% |
| Insurance companies | 2 | $729M | 5.88% |
| Sovereign wealth funds and foreign official institutions | 2 | $305M | 2.46% |
| Corporations and other businesses | 392 | $2.4B | 19.5% |
| Other | 6 | $5.7M | 0.05% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Oct 2024 · $264M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Nb Breton Hill Multi Style Premia Master Fund Lp master | Hedge Fund | Cayman Islands | $264M | 5 |
People (7)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Raymond Bernard Carroll | Director | Apr 2010 (16y) | Less than 5% | |
| Amato, Joseph, Vincent | Director | Nov 2017 (9y) | Less than 5% | |
| Arnold, William, Alfred | Chief Financial Officer | Nov 2017 (9y) | Less than 5% | |
| Zuckerman, Heather, P. | Director | Nov 2017 (9y) | Less than 5% | |
| Beltrametti Walker, Viviana, K R A | Chief Compliance Officer | Jul 2018 (8y) | Less than 5% | |
| Khan, Khashif, Rehman | Chief Executive Officer | Mar 2022 (4y) | Less than 5% | |
| Giarraputo, Barry, J | Chief Financial Officer Alternatives | Oct 2022 (4y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Nb Acquisitionco Ulc | Shareholder | Nov 2017 | A | 75% or more |
| Neuberger Berman Canada Holdings Llc | Shareholder | Nov 2017 | B | ≈ 56.25% – 100% via Nb Acquisitionco Ulc |
| Neuberger Berman Group Llc | Member | Nov 2017 | B | ≈ 42.19% – 100% via Neuberger Berman Canada Holdings Llc |
| Nbsh Acquisition, Llc | Member | May 2009 | B | ≈ 31.64% – 100% via Neuberger Berman Group Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Neuberger Berman Canada Holdings Llc: 75% – 100% of Nb Acquisitionco Ulc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Neuberger Berman Group Llc: 75% – 100% of Neuberger Berman Canada Holdings Llc × 75% – 100% of Nb Acquisitionco Ulc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Nbsh Acquisition, Llc: 75% – 100% of Neuberger Berman Group Llc × 75% – 100% of Neuberger Berman Canada Holdings Llc × 75% – 100% of Nb Acquisitionco Ulc × 75% – 100% direct ≈ 31.64% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (1, $264M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Nb Breton Hill Multi Style Premia Master Fund Lp | Hedge Fund | $264M | $100K | 5 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/14/2026 | 2.05 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: 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. Status: On Appeal Sanction Detail: AS NOTED IN 9 ABOVE, THIS MATTER HAS BEEN APPEALED TO THE BAFIN. Summary: NBSH FIELED AN APPEAL TO THE BAFIN ON AUGUST 29, 2024 STATING THAT A SINGLE LATE SHAREHOLDER NOTIFICATION REPORTING A SMALL REDUCTION IN POSITION SIZE WAS DUE TO A CLERICAL ERROR AND THAT THE FIRM HAS SINCE ENHANCED ITS SYSTEMS TO PREVENT FUTURE OCCURRENCES. THE APPEAL REMAINS PENDING.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- National Financial Services (Fidelity) $3.8B (30% of AUM) Apr 2026
- BNY Mellon $2.3B (18% of AUM) Apr 2026
- Royal Bank Of Canada $976M (9% of AUM) Oct 2024
- Northern Trust $658M (6% of AUM) Mar 2025
- State Street $582M (11% of AUM) Sep 2020
- Cibc Mellon Trust Company $139M (3% of AUM) Sep 2020
- RBC $73.6M (2% of AUM) Mar 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 14, 2026.
View current Form ADV (SEC/IAPD) ↗