Form D · Hedge Fund

Fixed Income Opportunities NB LLC

New York, NY · CIK 0001654428

Offering snapshot reported Jul 13, 2018 · SEC filing

Reported sold: $500M
Investors reported: 1
Minimum accepted: $0
First sale: Jun 28, 2018

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jul 13, 2018	Initial	$500,000,000	No comparison	1	SEC filing
Oct 1, 2015	Initial	$1,000,000,000	No comparison	1	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.7
Duration over one year: No
Business combination: No

Sales commissions: $600K (estimated)
Finders' fees: $0
Form D file number: 021-316789

The estimated amount of sales commission is through June 30, 2018.

Sales compensation recipients

Scroll to see all columns →

Recipient	CRD	Associated broker-dealer
N/A	None	Neuberger Berman BD LLC · CRD 2908

Source: Form D, filed Jul 13, 2018. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

FIXED INCOME OPPORTUNITIES NB LLC

Investment adviser: NEUBERGER BERMAN INVESTMENT ADVISERS LLC

Gross asset value: $1.98B
Beneficial owners: 2
ADV minimum commitment: $100K

Reported in Form ADV on Jan 11, 2024. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator U.S. BANCORP FUND SERVICES, LLC MILWAUKEE, Wisconsin, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LTD. GRAND CAYMAN, Cayman Islands

Custodian JPMORGAN CHASE BANK, N.A. NEW YORK, New York, United States Related to adviser: No

Custodian U.S. BANK NATIONAL ASSOCIATION FLORENCE, South Carolina, United States Related to adviser: No

Marketer NEUBERGER BERMAN BD LLC NEW YORK, New York, United States Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

ERNST & YOUNG LTD.
PCAOB 1655

JPMORGAN CHASE BANK, N.A.
LEI 7H6GLXDRUGQFU57RNE97

U.S. BANK NATIONAL ASSOCIATION
LEI 6BYL5QZYBDK8S7L73M02

NEUBERGER BERMAN BD LLC
CRD 2908 · SEC 801-3908

Filing source

Form ADV 1806850 · Jan 11, 2024 · Schedule D 7.B.(1), fund 805-6637727456

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
Name	Reported role
Joseph V. Amato	Director, Executive
Andrew A. Johnson	Director, Executive
N/A Neuberger Berman Fixed Income Llc	Promoter
N/A Neuberger Berman Investment Advisers Llc	Promoter
Bradley Tank	Director, Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

1290 Avenue Of The Americas 22nd Floor
New York, NY, 10104