Neuberger Berman Loan Advisers Iv Llc
- Regulatory AUM
- $6.1B
- Discretionary
- $6.1B
- Clients
- 13
- Avg AUM / client
- $467M
- Accounts
- 13
- Employees
- 3
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | Fewer than 5 clients | — | — |
| High net worth individuals | Fewer than 5 clients | — | — |
| Banking or thrift institutions | Fewer than 5 clients | — | — |
| Pooled investment vehicles (non-investment companies) | 13 | $6.1B | 100.0% |
| Pension and profit sharing plans | Fewer than 5 clients | — | — |
| Charitable organizations | Fewer than 5 clients | — | — |
| State or municipal government entities | Fewer than 5 clients | — | — |
| Other investment advisers | Fewer than 5 clients | — | — |
| Insurance companies | Fewer than 5 clients | — | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | — | — |
| Corporations and other businesses | Fewer than 5 clients | — | — |
Private funds (3)
Reported in Form ADV Section 7.B.(1), filing of Oct 2024 · $865M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Neuberger Berman Loan Advisers Clo 54, Ltd. | Securitized Asset Fund | Jersey | $487M | 3 |
| Neuberger Berman Loan Advisers Clo 55, Ltd. | Securitized Asset Fund | Jersey | $305M | 3 |
| Neuberger Berman Loan Advisers Lasalle Street Lending Clo Ii, Ltd. | Securitized Asset Fund | Jersey | $73.7M | 1 |
People (5)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Brian Lord | Chief Compliance Officer, Assistant Secretary And Senior Vice President | May 2022 (4y) | Less than 5% | |
| Stephen Gregory Wright | Director And Managing Director | May 2022 (4y) | Less than 5% | |
| De Regt, Kenneth, M | Director And Managing Director | May 2022 (4y) | Less than 5% | |
| Anne Faris Brennan | Director And Managing Director | CFA | Jun 2024 (2y) | Less than 5% |
| Ashok Kumar Bhatia | Director, Managing Director And Chief Executive Officer | CFA | Jun 2024 (2y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Neuberger Berman Loan Advisers Holdings Iv Lp | Member | Jan 2023 | A | 75% or more |
| Neuberger Berman Investment Advisers Gp Holdings Llc | Member | May 2022 | B | 75% or more of Neuberger Berman Loan Advisers Holdings Iv Gp Llc (indirect) |
| Neuberger Berman Investment Advisers Holdings Llc | Member | Sep 2011 | B | 75% or more of Neuberger Berman Investment Advisers Gp Holdings Llc (indirect) |
| Neuberger Berman Group Llc | Member | Feb 2009 | B | 75% or more of Neuberger Berman Investment Advisers Holdings Llc (indirect) |
| Nbsh Acquisition, Llc | Member | May 2009 | B | 75% or more of Neuberger Berman Group Llc (indirect) |
| Neuberger Berman Loan Advisers Holdings Iv (Cayman) Lp | Limited Partner | Mar 2023 | B | ≈ 37.5% – 75% via Neuberger Berman Loan Advisers Holdings Iv Lp |
| Neuberger Berman Loan Advisers Holdings Iv (Delaware) Lp | Limited Partner | Mar 2023 | B | ≈ 18.75% – 50% via Neuberger Berman Loan Advisers Holdings Iv Lp |
| The Ohio State University | Limited Partner | May 2024 | B | ≈ 4.69% – 25% via Neuberger Berman Loan Advisers Holdings Iv (Delaware) Lp |
| Clifton Capital Lp | Limited Partner | Mar 2024 | B | ≈ 9.38% – 37.5% via Neuberger Berman Loan Advisers Holdings Iv (Cayman) Lp |
| Neuberger Berman Investment Advisers Llc | Limited Partner | Jan 2023 | B | GP / trustee / elected manager of Neuberger Berman Loan Advisers Holdings Iv Lp (indirect) |
| Neuberger Berman Loan Advisers Holdings Iv Gp Llc | General Partner | May 2022 | B | GP / trustee / elected manager of Neuberger Berman Loan Advisers Holdings Iv Lp (indirect) |
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 Loan Advisers Holdings Iv (Cayman) Lp: 50% – 75% of Neuberger Berman Loan Advisers Holdings Iv Lp × 75% – 100% direct ≈ 37.5% – 75% of the firm
- Neuberger Berman Loan Advisers Holdings Iv (Delaware) Lp: 25% – 50% of Neuberger Berman Loan Advisers Holdings Iv Lp × 75% – 100% direct ≈ 18.75% – 50% of the firm
- The Ohio State University: 25% – 50% of Neuberger Berman Loan Advisers Holdings Iv (Delaware) Lp × 25% – 50% of Neuberger Berman Loan Advisers Holdings Iv Lp × 75% – 100% direct ≈ 4.69% – 25% of the firm
- Clifton Capital Lp: 25% – 50% of Neuberger Berman Loan Advisers Holdings Iv (Cayman) Lp × 50% – 75% of Neuberger Berman Loan Advisers Holdings Iv Lp × 75% – 100% direct ≈ 9.38% – 37.5% 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 (3, $865M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Neuberger Berman Loan Advisers Clo 54, Ltd. | Securitized Asset Fund | $487M | $250K | 3 |
| Neuberger Berman Loan Advisers Clo 55, Ltd. | Securitized Asset Fund | $305M | $250K | 3 |
| Neuberger Berman Loan Advisers Lasalle Street Lending Clo Ii, Ltd. | Securitized Asset Fund | $73.7M | $250K | 1 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 3.99 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 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
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗