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Neuberger Berman Group LLC

PRI reporting framework 2017

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Basic Information

OO 01. Signatory category and services

01.1. 組織または組織が提供するサービスに最もよく当てはまる種類を選択してください。

運用資産(AUM)に占める割合(%)

運用資産(AUM)に占める割合(%)

01.2. 追加情報。 [任意]

Firm Overview

Neuberger Berman is an independent, employee-controlled investment management firm. We partner with institutions, advisors and individuals throughout the world to customize solutions that seek to address their needs for income, growth and capital preservation. With 1,917 professionals1 focused exclusively on asset management, we are deeply grounded in original, fundamental research and offer an investment culture of independent thinking. Founded in 1939, Neuberger Berman had approximately $255 billion in assets under management invested across equities, fixed income and alternative strategies.

At Neuberger Berman, our mission is to partner with clients to achieve their unique investment objectives. Three key elements reinforce our efforts:

Experience : Our portfolio managers have seen both good and bad markets. Some 95% of our clients' assets are managed by lead portfolio managers with over 20 years of industry experience.

Stability: Neuberger Berman is a destination for successful investment professionals, a significant number of whom stay for the duration of their careers. We hire and retain employees based on merit, and strive to attract talent with the dedication and creativity needed to foster diverse perspectives and a passion for investing. Over 89% of clients' assets are managed by lead portfolio managers with a firm tenure of more than 10 years.

Alignment: Portfolio manager incentives are closely tailored to the interests of clients. The firm is employee owned. 100% of portfolio managers' deferred cash compensation is directly linked to team and firm strategies.

[1] Firm data reflects the collective data for the various subsidiaries of Neuberger Berman Group LLC.

All information is as of December 31, 2016, except as otherwise noted. 


OO 02. Headquarters and operational countries

02.1. 組織の拠点がある場所を選択してください。

United States

02.2. オフィスが所在している国数を記載してください(本部を含む)。

02.3. 組織が正規雇用しているスタッフのおおよその人数を記載してください。

1917 正規職員

02.4. 補足情報。 [任意]

Neuberger Berman is headquartered in New York City, where the majority of our asset management services are performed.  As of December 31, 2016, Neuberger Berman has offices in 28 cities and 19 countries.


OO 03. Subsidiaries that are separate PRI signatories

03.1. 組織内に単独でPRI署名者となっている子会社があるかどうかを記載してください。

03.3. 補足情報。 [任意]

Ownership Structure

Neuberger Berman is a private, independent, employee-owned investment manager with more than 400 current employee owners as of December 31, 2016. We believe this aligns the firm's interests with those of our clients, supporting our investment culture and reinforcing our track record of high retention rates amongst our senior professionals. 

Neuberger Berman Group  LLC is a holding company for subsidiaries operating investment management businesses.

Board of Directors

As of December 31, 2016, NBG’s Board of Directors is currently comprised of six directors, one of whom is the firm’s Chief Executive Officer with the remaining five appointed by the Management Members, two of whom are required to be independent as described in the New York Stock Exchange listing requirements.

Culture

We believe that being an independent, employee-controlled organization aligns the firm's interests with those of our clients, supporting our investment culture and reinforcing our track record of very high retention rates amongst our senior professionals.

We have no subsidiaries that are PRI signatories in their own right.  All subsidiaries are committed to PRI as part of NBG's engagement as a signatory in June of 2012.


OO 04. Reporting year and AUM

04.1. 報告年度の最終日を記載してください。

31/12/2016

04.2. 報告しないことを選択した子会社を除き、報告年度末のAUM合計を記載してください。

Total AUM
10億 100万
Currency
Assets in USD
10億 100万

04.4. 補足情報。 [任意]

Investment Capabilities

The firm is positioned across a broad range of investment capabilities and services, managed by distinct investment teams, unified by a common commitment to research and a singular focus on delivering attractive performance.

Equities: Our equity portfolios are managed by teams comprised of dedicated, experienced portfolio managers and analysts solely focused on delivering attractive performance for clients. Our equity suite of products spans the global market capitalization across fundamental and quantitative styles.

Fixed Income: Our fixed income investment teams offer a broad, diverse range of investment solutions across investment grade, non-investment grade, emerging markets, global, specialty, tax-exempt, and cash/short duration strategies.

Alternative Investments: Our private equity capabilities—primaries, secondaries, co-investments, and direct strategies—are distinguished by a research-driven approach with industry-leading, sophisticated risk management and reporting capabilities. Our hedge fund strategies bring together extensive capital markets expertise of dedicated hedge fund professionals and include hedge fund of funds as well as single-manager hedge funds, quantitative strategies and long-only commodity funds.

Multi-Asset Class Strategic Solutions: Neuberger Berman has deep experience partnering with the world's largest and most sophisticated institutional investors, many of whom require customized multi-asset class solutions. Our multi-asset class investment efforts focus on both top-down strategic and tactical asset allocation decision-making and bottom up active management, as well as the incorporation of traditional and alternative risk premia, options, global macro and commodities.
 


OO 06. How would you like to disclose your asset class mix

New selection options have been added to this indicator. Please review your prefilled responses carefully.

06.1. どのように資産クラス構成を開示したいかについて記載してください。

組織内で運用
組織外で運用

 

上場株式 10-50% 37 0 0
債券 10-50% 45 0 0
プライベートエクイティ <10% 4 10-50% 10
不動産 0 0 0 0
インフラ 0 0 0 0
コモディティ 0 0 0 0
ヘッジファンド <10% 3 <10% 1
森林 0 0 0 0
農地 0 0 0 0
包括的な金融 0 0 0 0
現金 0 0 0 0
その他(1)(以下に具体的に記入してください) 0 0 0 0
その他(2)(以下に具体的に記入してください) 0 0 0 0

06.2. 添付の画像に従って組織の資産クラス構成を公表する

06.3. AUM資産クラス分割について説明する情報を記載してください。 [任意]


OO 07. Fixed income AUM breakdown (Private)


OO 08. Segregated mandates or pooled funds (Private)


OO 09. Breakdown of AUM by market (Private)


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