SEC-Registered Investment Adviser
Neuberger Berman Canada Ulc
Registration facts are from the firm's Form ADV Part 1A as published by the SEC, latest filing dated April 14, 2026. Figures are firm-level: they describe the advisory firm, not any single offering.
Registration
- Status
- Approved
- Registered since
- October 24, 2016
- Principal office
- 181 Bay Street, Suite 815, Toronto, Ontario M5j 2v1
- Organized as
- Corporation
- Fiscal year end
- December
Scale
- Regulatory AUM
- $12.4B
- Attributable to non-US clients
- $5.9B
- Accounts
- 3,365
- Clients
- 2
- Employees
- 27, 13 in advisory roles
- Private funds advised
- 1
- Private fund gross assets
- $358.4M
- Fund types
- 1 hedge funds
- Funds with Form D records
- 1 issuer in AltStreet's ledger, $313.9M reported sold across them
Business, clients and compensation, as filed
- Advisory activities
- portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients
- Compensated by
- a percentage of assets under management and performance-based fees
- Client types
- individuals (other than high net worth) (1,993); high net worth individuals (899); banking or thrift institutions; investment companies (4); business development companies; pooled investment vehicles (26); pension and profit sharing plans (14); charitable organizations (28); state or municipal government entities; other investment advisers; insurance companies (2); sovereign wealth funds and foreign official institutions (2); corporations or other businesses (392); other (6)
- Also engaged as
- commodity pool operator or commodity trading advisor
- Related persons include
- a broker-dealer, another investment adviser, a registered municipal advisor, a commodity pool operator or commodity trading advisor, a trust company, an insurance company or agency and a sponsor, general partner or managing member of pooled investment vehicles
- Affiliates
- 11 investment advisers
- Wrap fee program
- Sponsors or manages a wrap fee program
Form ADV Item 11 disclosures
The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.
- other regulator finding of a violation (Item 11D(2))
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Source: SEC Form ADV via IARD (roster of October 6, 2026), matched to the platform by AltStreet analysts. Item 11 answers are as reported on the firm's Form ADV and cover the firm and its advisory affiliates; consult the firm's IAPD record for the Disclosure Reporting Pages. Brochure statements are the firm's own. Nothing on this page is investment advice.