NEUBERGER BERMAN LOAN ADVISERS IV LLC

RIASEC RegisteredEst. 2023
Total AUM
$6.1B
Discretionary
$6.1B
100% of AUM
Avg account
$467M
Accounts
13
Employees
3
Advisory reps
5

Firm details

Headquarters
CHICAGO, Illinois
CRD number
324282
Registered since
February 10, 2023
Website
www.nb.com
Fee structure
Percentage of AUM, Performance Based Fees
Client types
  • Pooled Investment Vehicles100%
Services
Portfolio Management for Pooled Investment Vehicles

Firm profile

FINTRX

Overview

Neuberger Berman Loan Advisers IV LLC is a limited liability company established as an SEC-registered adviser in 2023 that operates as a manager of pooled investment vehicles with an institutional client focus. It is organized and classified around securitized asset strategies, with portfolio management responsibilities for funds that hold loans and structured credit. The firm is not a pure capital allocator — it functions as a sponsor/GP/managing member of pooled vehicles and participates in multiple industry roles (including broker-dealer and registered municipal advisor relationships), which supports an integrated servicing and distribution model for its funds. The firm charges a mix of percentage-of-assets and performance-based fees, and it identifies as an active ESG investor, which will influence manager selection, underwriting standards and ongoing portfolio monitoring. Client relationships are institutional in nature, and the business is set up to run closed-end or pooled vehicles rather than individual retail advisory accounts.

Assets & Accounts

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

2 of 2
  • Anne Brennan

    Chief Risk OfficerCRD 2387556

  • Ashok Bhatia

    Co-Chief Investment OfficerCRD 2378849

Contacts

3 of 3
  • Kenneth deRegt

    DirectorCRD 1030085

  • BRIAN LORD

    SVPCRD 4481766

  • STEPHEN WRIGHT

    Business Control ManagerCRD 4535690

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

CHICAGO, IL

COOK

Location

CHICAGO, IL

Headquartered in CHICAGO, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.

Metro area
Chicago-Naperville, IL-IN-WI
Region
Midwest
County
COOK
Address
190 S La Salle St
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth