Neuberger Berman Asia Limited

Registered investment adviser · Hong Kong · CRD #154286

Form ADV data as of 2026-09-01

Regulatory assets

$11.01 billion

Total accounts

Employees

Disclosure events

Firm details

Website: https://www.linkedin.com/company/neuberger-berman
Telephone: 852 3664 8800
SEC file number: 801-71669
Most recent Form ADV filing: 2026-03-30
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 1 disclosure question answered Yes, covering 1 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

Another regulator found a violation of investment-related regulations or statutes

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$11.01 billion
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$11.01 billion
Discretionary accounts	28
Non-discretionary accounts	0
Total accounts	28
Regulatory assets under management attributable to non-U.S. persons	$11.01 billion

People

Total employees (excluding clerical)	62
Employees performing investment advisory functions (including research)	19
Employees who are registered representatives of a broker-dealer	1
Employees registered as investment adviser representatives with a state	1
Employees registered as IARs for another investment adviser	1
Employees who are licensed insurance agents	0
Firms or persons who solicit advisory clients on the firm's behalf	13

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementPerformance-based fees

Advisory services offered

Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients

Other business activities

Commodity pool operator or commodity trading advisor

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Registered municipal advisorCommodity pool operator or commodity trading advisorTrust companySponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys securities from or sells securities to advisory clients (principal transactions)
Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Brokers or dealers selected under 8.C.(3) are related persons
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons
Receives soft dollar benefits
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients

Client types

Type of client	Clients	Assets
Pooled investment vehicles (other than investment companies and BDCs)	9	$5.72 billion
Insurance companies	13	$1.36 billion
Sovereign wealth funds and foreign official institutions	5	$3.93 billion
Other	1	$1.4 million