Neuberger Berman Canada ULC is registered with the Securities and Exchange Commission (“SEC”) as an investment adviser. Brokerage and investment advisory services and fees differ.
It is important for you to understand those differences. Free and simple tools are available to research firms and financial professionals at Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.
This Form CRS provides information applicable to United States retail investors. If you are not a United States retail investor and would like additional information regarding the services we provide to you, please contact your NB Canada representative.
What investment services and advice can you provide me?
With respect to retail investors in the United States we offer ”custom direct investing” or CDITM investment advisory services through our affiliate, Neuberger Berman Investment Advisers LLC (“NBIA”). Information on these services can be found at www.nb.com/nbpp.
Our advisory services for "CDITM" accounts are offered to retail clients through NBIA’s wealth managers. These advisory services are discretionary investment services offered through separately managed accounts (“SMAs”).
The “CDITM” strategies managed by NB Canada and offered through NBIA are proprietary strategies.
Unless otherwise agreed, the SMAs generally require a minimum account size of $250,000.
Generally, we monitor client assets within each SMA on an ongoing basis.
For additional information, please see each of NB Canada’s and NBIA’s Form ADV Part 2A brochure (“ADV Part 2A”) (Items 4 and 7 of Part 2A) at http://www.nb.com/adv_part_2A_nbc/ https://www.nbprivatewealth.com/adv-part-2a-nbc and http://www.nb.com/adv_part_2A_nbia/ https://www.nbprivatewealth.com/adv-part-2a-nbia, respectively, each of NB Canada’s and NBIA’s Form ADV Part 2B brochure (“ADV Part 2B”) and, as applicable, the ERISA 408(b)(2) disclosure provided to you, and the terms of the agreement between you and Neuberger Berman.