{ "crd_number": 154286, "slug": "neuberger-berman-asia-limited-hong-kong-154286", "primary_business_name": "NEUBERGER BERMAN ASIA LIMITED", "legal_name": "NEUBERGER BERMAN ASIA LIMITED", "dbas": [], "city": "Hong Kong", "state": null, "country": "Hong Kong", "cbsa_code": null, "metro": null, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2010-08-09", "years_registered": 16, "period": "2026-10-01", "filing_date": "2026-03-30", "carried_forward": false, "raum_total": 11014612193.0, "raum_discretionary": 11014612193.0, "raum_non_discretionary": 0.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 62, "advisory_employees": 19, "client_count_bucket": null, "clients_by_type": { "other": { "raum": 1360742.0, "count": 1, "description": "PROPRIETARY ACCOUNT" }, "charitable": { "raum": 0.0, "count": 0 }, "individuals": { "raum": 0.0, "count": 0 }, "banking_thrift": { "raum": 0.0, "count": 0 }, "state_municipal": { "raum": 0.0, "count": 0 }, "insurance_companies": { "raum": 1364109013.0, "count": 13 }, "investment_companies": { "raum": 0.0, "count": 0 }, "pension_profit_sharing": { "raum": 0.0, "count": 0 }, "other_investment_advisers": { "raum": 0.0, "count": 0 }, "high_net_worth_individuals": { "raum": 0.0, "count": 0 }, "pooled_investment_vehicles": { "raum": 5718406467.0, "count": 9 }, "corporations_other_businesses": { "raum": 0.0, "count": 0 }, "business_development_companies": { "raum": 0.0, "count": 0 }, "sovereign_wealth_foreign_official": { "raum": 3930735971.0, "count": 5 } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 1, "states_registered": [], "websites": [ "https://linkedin.com/COMPANY/NEUBERGER-BERMAN", "https://nb.com", "https://twitter.com/NEUBERGERBERMAN" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/154286", "disclosure_items": [ { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" } ], "city_as_filed": "HONG KONG", "url": "https://advisorcensus.com/firm/neuberger-berman-asia-limited-hong-kong-154286", "display_name": "Neuberger Berman Asia Limited", "summary": "Neuberger Berman Asia Limited is an SEC-registered investment advisory firm in Hong Kong, Hong Kong, registered since 2010, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.", "citation": "AdvisorCensus. Neuberger Berman Asia Limited (CRD 154286): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Neuberger Berman Asia Limited compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Neuberger Berman Asia Limited reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Neuberger Berman Asia Limited located?", "a": "Neuberger Berman Asia Limited's principal office is in Hong Kong, Hong Kong, according to its Form ADV." }, { "q": "Is Neuberger Berman Asia Limited registered with the SEC or a state?", "a": "Neuberger Berman Asia Limited is an SEC-registered investment advisory firm, registered since 2010. Status as filed: Approved. CRD 154286." }, { "q": "How much does Neuberger Berman Asia Limited manage?", "a": "Neuberger Berman Asia Limited reports $11,014,612,193 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary)." }, { "q": "How have Neuberger Berman Asia Limited's assets and staff changed since 2021?", "a": "In the Form ADV data for Neuberger Berman Asia Limited: Regulatory assets under management: $3,522,992,839 in the October 2021 data and $11,014,612,193 in the October 2026 data, up 213%. Total employees: 60 in October 2021 and 62 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Neuberger Berman Asia Limited serve?", "a": "By number of clients on Form ADV Item 5.D: insurance companies (13); pooled investment vehicles (other than investment companies and business development companies) (9); sovereign wealth funds and foreign official institutions (5)." }, { "q": "Which custodians does Neuberger Berman Asia Limited use?", "a": "Neuberger Berman Asia Limited's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Citibank NA and JPMorgan Chase & Co. as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Neuberger Berman Asia Limited report any disciplinary disclosures?", "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/154286" }, { "q": "What changed in Neuberger Berman Asia Limited's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 21 to 19. Regulatory assets under management went from $6,867,563,326 to $11,014,612,193 (+60%)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 3522992839.0, "total_employees": 60, "filing_date": "2021-06-15" }, { "period": "2022-10-01", "regulatory_assets_under_management": 6729278498.0, "total_employees": 63, "filing_date": "2022-07-29" }, { "period": "2023-10-01", "regulatory_assets_under_management": 6088425770.0, "total_employees": 63, "filing_date": "2023-03-31" }, { "period": "2024-10-01", "regulatory_assets_under_management": 6245511994.0, "total_employees": 64, "filing_date": "2024-03-28" }, { "period": "2025-10-01", "regulatory_assets_under_management": 6867563326.0, "total_employees": 62, "filing_date": "2025-03-28" }, { "period": "2026-10-01", "regulatory_assets_under_management": 11014612193.0, "total_employees": 62, "filing_date": "2026-03-30" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 21 to 19.", "Regulatory assets under management went from $6,867,563,326 to $11,014,612,193 (+60%)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Citibank NA", "name_as_filed": "CITIBANK NA", "affiliated": false }, { "name": "JPMorgan Chase & Co.", "name_as_filed": "JPMORGAN CHASE & CO.", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/neuberger-berman-asia-limited-hong-kong-154286.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "business_development_companies", "label": "Business development companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 9, "fewer_than_5": false, "raum": 5718406467.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": 13, "fewer_than_5": false, "raum": 1364109013.0 }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": 5, "fewer_than_5": false, "raum": 3930735971.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "other", "label": "Other", "count": 1, "fewer_than_5": false, "raum": 1360742.0 } ], "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/154286", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }