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NEUBERGER BERMAN CANADA ULC

TORONTO, ONTARIO, Canada · CRD 284803 · IAPD ↗ · 416-883-6904

$12.39BRegulatory AUM
13Advisory reps
27Employees
2Clients
n/aPlanning clients
1Private funds
0States
1Disclosures
foreignSegment
ApprovedSEC status

Filing changes

25
November 2024 — NEUBERGER BERMAN CANADA ULC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
1
April 2024 — NEUBERGER BERMAN CANADA ULC changed its website from plus.google.com to nb.com.
Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
Marketing & brand
35
April 2024 — NEUBERGER BERMAN CANADA ULC began participating in a wrap-fee program.
Firm began participating in a wrap-fee program (Item 5I(1)).
Portfolio / reporting / TAMPCompliance
37
April 2024 — NEUBERGER BERMAN CANADA ULC reported RAUM up 37% ($8.15B -> $11.18B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.