Neuberger Berman Asia Limited

Activity type:

This page shows the historic number of SFC licensees for a firm. Licensees are either Responsible Officers (ROs) or Representatives (Reps). When Activity is set to "All", we treat a person who holds both roles (in different activities) as an RO. The Reps v total is a measure of how bottom-heavy a firm is, because the ROs are supposed to supervise the Reps. For other firms, click here. For the total in all firms, click here. Note that due to a transitional period which ended on 31-Mar-2005, many licenses in some activities were surrendered or not extended beyond that date.

Date ROs Reps Total Reps v total
2024-11-02 4 36 40 90.00%
2024-10-31 4 36 40 90.00%
2024-09-30 4 35 39 89.74%
2024-08-31 4 35 39 89.74%
2024-07-31 4 36 40 90.00%
2024-06-30 5 36 41 87.80%
2024-05-31 4 37 41 90.24%
2024-04-30 4 37 41 90.24%
2024-03-31 4 37 41 90.24%
2024-02-29 4 37 41 90.24%
2024-01-31 4 37 41 90.24%
2023-12-31 4 37 41 90.24%
2023-11-30 4 37 41 90.24%
2023-10-31 4 37 41 90.24%
2023-09-30 4 37 41 90.24%
2023-08-31 4 37 41 90.24%
2023-07-31 4 36 40 90.00%
2023-06-30 4 36 40 90.00%
2023-05-31 4 36 40 90.00%
2023-04-30 4 36 40 90.00%
2023-03-31 4 35 39 89.74%
2023-02-28 5 35 40 87.50%
2023-01-31 5 34 39 87.18%
2022-12-31 5 34 39 87.18%
2022-11-30 5 33 38 86.84%
2022-10-31 5 34 39 87.18%
2022-09-30 5 34 39 87.18%
2022-08-31 4 35 39 89.74%
2022-07-31 4 35 39 89.74%
2022-06-30 5 36 41 87.80%
2022-05-31 5 34 39 87.18%
2022-04-30 5 35 40 87.50%
2022-03-31 5 35 40 87.50%
2022-02-28 5 35 40 87.50%
2022-01-31 5 36 41 87.80%
2021-12-31 5 36 41 87.80%
2021-11-30 5 33 38 86.84%
2021-10-31 5 32 37 86.49%
2021-09-30 5 32 37 86.49%
2021-08-31 5 32 37 86.49%
2021-07-31 5 32 37 86.49%
2021-06-30 5 32 37 86.49%
2021-05-31 5 30 35 85.71%
2021-04-30 5 32 37 86.49%
2021-03-31 5 32 37 86.49%
2021-02-28 5 33 38 86.84%
2021-01-31 5 33 38 86.84%
2020-12-31 5 33 38 86.84%
2020-11-30 4 34 38 89.47%
2020-10-31 4 34 38 89.47%
2020-09-30 4 34 38 89.47%
2020-08-31 3 35 38 92.11%
2020-07-31 3 35 38 92.11%
2020-06-30 3 35 38 92.11%
2020-05-31 3 34 37 91.89%
2020-04-30 3 34 37 91.89%
2020-03-31 3 33 36 91.67%
2020-02-29 3 33 36 91.67%
2020-01-31 3 32 35 91.43%
2019-12-31 3 31 34 91.18%
2019-11-30 3 31 34 91.18%
2019-10-31 3 31 34 91.18%
2019-09-30 3 31 34 91.18%
2019-08-31 3 31 34 91.18%
2019-07-31 3 31 34 91.18%
2019-06-30 3 30 33 90.91%
2019-05-31 4 30 34 88.24%
2019-04-30 4 29 33 87.88%
2019-03-31 4 30 34 88.24%
2019-02-28 4 32 36 88.89%
2019-01-31 4 31 35 88.57%
2018-12-31 4 29 33 87.88%
2018-11-30 4 30 34 88.24%
2018-10-31 4 31 35 88.57%
2018-09-30 4 31 35 88.57%
2018-08-31 4 31 35 88.57%
2018-07-31 3 33 36 91.67%
2018-06-30 3 33 36 91.67%
2018-05-31 3 33 36 91.67%
2018-04-30 3 32 35 91.43%
2018-03-31 3 32 35 91.43%
2018-02-28 3 33 36 91.67%
2018-01-31 3 33 36 91.67%
2017-12-31 3 33 36 91.67%
2017-11-30 3 33 36 91.67%
2017-10-31 3 32 35 91.43%
2017-09-30 3 31 34 91.18%
2017-08-31 3 30 33 90.91%
2017-07-31 3 30 33 90.91%
2017-06-30 3 31 34 91.18%
2017-05-31 3 31 34 91.18%
2017-04-30 3 30 33 90.91%
2017-03-31 4 37 41 90.24%
2017-02-28 4 37 41 90.24%
2017-01-31 4 37 41 90.24%
2016-12-31 4 36 40 90.00%
2016-11-30 4 36 40 90.00%
2016-10-31 4 36 40 90.00%
2016-09-30 4 35 39 89.74%
2016-08-31 4 36 40 90.00%
2016-07-31 4 34 38 89.47%
2016-06-30 4 34 38 89.47%
2016-05-31 4 35 39 89.74%
2016-04-30 4 36 40 90.00%
2016-03-31 4 36 40 90.00%
2016-02-29 4 36 40 90.00%
2016-01-31 4 36 40 90.00%
2015-12-31 4 35 39 89.74%
2015-11-30 4 35 39 89.74%
2015-10-31 4 35 39 89.74%
2015-09-30 4 34 38 89.47%
2015-08-31 4 35 39 89.74%
2015-07-31 4 35 39 89.74%
2015-06-30 4 37 41 90.24%
2015-05-31 4 37 41 90.24%
2015-04-30 4 36 40 90.00%
2015-03-31 4 37 41 90.24%
2015-02-28 4 36 40 90.00%
2015-01-31 4 36 40 90.00%
2014-12-31 4 35 39 89.74%
2014-11-30 5 35 40 87.50%
2014-10-31 5 35 40 87.50%
2014-09-30 5 34 39 87.18%
2014-08-31 4 35 39 89.74%
2014-07-31 4 33 37 89.19%
2014-06-30 4 33 37 89.19%
2014-05-31 4 29 33 87.88%
2014-04-30 4 28 32 87.50%
2014-03-31 4 29 33 87.88%
2014-02-28 4 29 33 87.88%
2014-01-31 4 26 30 86.67%
2013-12-31 4 26 30 86.67%
2013-11-30 4 26 30 86.67%
2013-10-31 4 25 29 86.21%
2013-09-30 4 27 31 87.10%
2013-08-31 4 24 28 85.71%
2013-07-31 4 24 28 85.71%
2013-06-30 4 23 27 85.19%
2013-05-31 4 23 27 85.19%
2013-04-30 4 21 25 84.00%
2013-03-31 4 21 25 84.00%
2013-02-28 4 20 24 83.33%
2013-01-31 4 20 24 83.33%
2012-12-31 4 18 22 81.82%
2012-11-30 4 18 22 81.82%
2012-10-31 4 18 22 81.82%
2012-09-30 4 17 21 80.95%
2012-08-31 4 18 22 81.82%
2012-07-31 4 18 22 81.82%
2012-06-30 4 18 22 81.82%
2012-05-31 4 17 21 80.95%
2012-04-30 4 15 19 78.95%
2012-03-31 4 15 19 78.95%
2012-02-29 3 17 20 85.00%
2012-01-31 3 14 17 82.35%
2011-12-31 3 14 17 82.35%
2011-11-30 3 13 16 81.25%
2011-10-31 3 12 15 80.00%
2011-09-30 3 11 14 78.57%
2011-08-31 3 12 15 80.00%
2011-07-31 2 13 15 86.67%
2011-06-30 2 13 15 86.67%
2011-05-31 2 15 17 88.24%
2011-04-30 3 14 17 82.35%
2011-03-31 3 13 16 81.25%
2011-02-28 3 13 16 81.25%
2011-01-31 3 13 16 81.25%
2010-12-31 3 13 16 81.25%
2010-11-30 3 13 16 81.25%
2010-10-31 3 13 16 81.25%
2010-09-30 3 13 16 81.25%
2010-08-31 3 12 15 80.00%
2010-07-31 3 13 16 81.25%
2010-06-30 3 13 16 81.25%
2010-05-31 3 14 17 82.35%
2010-04-30 3 14 17 82.35%
2010-03-31 3 13 16 81.25%
2010-02-28 3 13 16 81.25%
2010-01-31 3 12 15 80.00%
2009-12-31 4 12 16 75.00%
2009-11-30 3 13 16 81.25%
2009-10-31 3 13 16 81.25%
2009-09-30 3 11 14 78.57%
2009-08-31 3 10 13 76.92%
2009-07-31 3 10 13 76.92%
2009-06-30 3 9 12 75.00%
2009-05-31 3 10 13 76.92%
2009-04-30 2 12 14 85.71%
2009-03-31 2 12 14 85.71%
2009-02-28 2 15 17 88.24%
2009-01-31 2 16 18 88.89%
2008-12-31 2 16 18 88.89%
2008-11-30 2 11 13 84.62%
2008-10-31 2 10 12 83.33%
2008-09-30 2 12 14 85.71%
2008-08-31 2 12 14 85.71%
2008-07-31 2 12 14 85.71%
2008-06-30 2 12 14 85.71%
2008-05-31 2 13 15 86.67%
2008-04-30 2 13 15 86.67%
2008-03-31 2 1 3 33.33%
2008-02-29 0 0 0 0.00%

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