Neuberger Berman Asia Limited
- Regulatory AUM
- $11.0B
- Discretionary
- $11.0B
- Clients
- 28
- Avg AUM / client
- $393M
- Accounts
- 28
- Employees
- 62
AUM over time
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pooled investment vehicles (non-investment companies) | 9 | $5.7B | 51.9% |
| Insurance companies | 13 | $1.4B | 12.4% |
| Sovereign wealth funds and foreign official institutions | 5 | $3.9B | 35.7% |
| Other | 1 | $1.4M | 0.01% |
People (4)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Zuckerman, Heather, P. | Director | Nov 2009 (17y) | Less than 5% | |
| Henchman, Jason, Christopher Davenant | Director | Mar 2010 (16y) | Less than 5% | |
| Chia, Travis, Wei Heong | Chief Compliance Officer | Feb 2021 (6y) | Less than 5% | |
| Hui, Alvin, Joyue | Director | Nov 2023 (3y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Neuberger Berman Asia Holdings Ii Llc | Holding Company | May 2009 | A | 75% or more |
| Neuberger Berman Asia Holdings Llc | Member | May 2009 | B | ≈ 56.25% – 100% via Neuberger Berman Asia Holdings Ii Llc |
| Neuberger Berman Group Llc | Member | May 2009 | B | ≈ 42.19% – 100% via Neuberger Berman Asia 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 Asia Holdings Llc: 75% – 100% of Neuberger Berman Asia Holdings Ii Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Neuberger Berman Group Llc: 75% – 100% of Neuberger Berman Asia Holdings Llc × 75% – 100% of Neuberger Berman Asia Holdings Ii Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Nbsh Acquisition, Llc: 75% – 100% of Neuberger Berman Group Llc × 75% – 100% of Neuberger Berman Asia Holdings Llc × 75% – 100% of Neuberger Berman Asia Holdings Ii Llc × 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 2 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 A 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 FILED 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 pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Citibank $3.2B (29% of AUM) Mar 2026
- J.P. Morgan $1.8B (16% of AUM) Mar 2026
- State Street $583M (9% of AUM) Feb 2025
- Northern Trust $479M (8% of AUM) Feb 2025
- Nothern Trust Corporation $393M (46% of AUM) Mar 2018
- Jpmcb (China) Co., Ltd $119M (14% of AUM) Mar 2018
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: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗