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CRD 298135
MINNEAPOLIS, MN
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| CARVAL CLO II LTD | Securitized Asset Fund | $713M | Sep 3, 2024 | 5 | Jul 22, 2019 | reported | n/a |
| CARVAL CLO IX-C LTD. | Securitized Asset Fund | $531M | Sep 3, 2024 | 4 | May 1, 2024 | reported | n/a |
| CARVAL CLO VI-C LTD. | Securitized Asset Fund | $512M | Sep 3, 2024 | 6 | Jul 29, 2022 | reported | n/a |
| CARVAL CLO VII-C LTD. | Securitized Asset Fund | $511M | Sep 3, 2024 | 6 | Aug 11, 2023 | reported | n/a |
| CARVAL CLO III LTD | Securitized Asset Fund | $503M | Sep 3, 2024 | 2 | Sep 19, 2019 | reported | n/a |
| CARVAL CLO I LTD | Securitized Asset Fund | $474M | Sep 3, 2024 | 6 | Oct 3, 2018 | reported | n/a |
| CARVAL CLO V-C LTD. | Securitized Asset Fund | $434M | Sep 3, 2024 | 7 | Jan 31, 2022 | reported | n/a |
| CARVAL CLO VIII-C LTD. | Securitized Asset Fund | $408M | Sep 3, 2024 | 6 | Jan 24, 2023 | reported | n/a |
| CARVAL CLO IV LTD | Securitized Asset Fund | $406M | Sep 3, 2024 | 5 | Oct 19, 2021 | reported | n/a |
| AB CARVAL EURO CLO I-C DESIGNATED ACTIVITY COMPANY | Securitized Asset Fund | $390M | Sep 3, 2024 | 4 | Feb 8, 2024 | reported | n/a |
| AB CARVAL EURO CLO II-C DESIGNATED ACTIVITY COMPANY | Securitized Asset Fund | $37.4M | Sep 3, 2024 | 4 | May 1, 2024 | reported | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| AB CARVAL INVESTORS, LP | LIMITED PARTNER | E | yes | 09/2017 | Aug 22, 2024 | Sep 3, 2024 |
| ALLIANCEBERNSTEIN HOLDING L.P. | LIMITED PARTNER | C | yes | 10/1999 | Aug 22, 2024 | Sep 3, 2024 |
| ALLIANCEBERNSTEIN L.P. | GENERAL PARTNER | E | yes | 07/2022 | Aug 22, 2024 | Sep 3, 2024 |
| ALPHA UNITS HOLDINGS INC | LIMITED PARTNER | C | yes | 05/2018 | Aug 22, 2024 | Sep 3, 2024 |
| BOGART, MATTHEW, ROBERT | GENERAL COUNSEL OF AB CARVAL INVESTORS L.P. | Na | yes | 08/2007 | Aug 22, 2024 | Sep 3, 2024 |
| CARVAL CLO MANAGEMENT GP | GENERAL PARTNER | F | yes | 09/2017 | Aug 22, 2024 | Sep 3, 2024 |
| CARVAL CLO MANAGEMENT HOLDINGS, L.P. | Shareholder | E | yes | 08/2017 | Aug 22, 2024 | Sep 3, 2024 |
| EQUITABLE HOLDINGS INC | Shareholder | E | yes | 06/2020 | Aug 22, 2024 | Sep 3, 2024 |
| HEDBERG, CHRISTOPHER, JOHN | CHIEF OPERATING OFFICER OF AB CARVAL INVESTORS L.P. | Na | yes | 01/2017 | Aug 22, 2024 | Sep 3, 2024 |
| MAWN, CHRISTOPHER, ALAN | President | Na | yes | 08/2017 | Aug 22, 2024 | Sep 3, 2024 |
| MORRIS, BRANDYNN, YOUNG | CHIEF FINANCIAL OFFICER OF AB CARVAL INVESTORS L.P. | Na | yes | 01/2023 | Aug 22, 2024 | Sep 3, 2024 |
| OBERG, CHRISTIE, RAMONA FARRIS | CHIEF COMPLIANCE OFFICER | Na | yes | 07/2022 | Aug 22, 2024 | Sep 3, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| ALLIANCEBERNSTEIN L.P. | n/a | Other adviser | $763B | Y | yes | n/a |
| EQUITABLE INVESTMENT MANAGEMENT GROUP, LLC | n/a | Asset manager | $167B | N | yes | n/a |
| EQUITABLE ADVISORS, LLC | n/a | National bd RIA | $42B | N | yes | n/a |
| AB CARVAL INVESTORS, LP | n/a | Asset manager | $18B | N | yes | n/a |
| AB PRIVATE CREDIT INVESTORS LLC | n/a | Asset manager | $11B | N | yes | n/a |
| PLANMEMBER SECURITIES CORPORATION | n/a | Independent wealth | $10B | N | yes | n/a |
| AB BROADLY SYNDICATED LOAN MANAGER LLC | n/a | Asset manager | $2.6B | N | yes | n/a |
| AB CUSTOM ALTERNATIVE SOLUTIONS LLC | n/a | Institutional manager | $1.4B | N | yes | n/a |
| SANFORD C. BERNSTEIN & CO., LLC | n/a | Other adviser | $1.2B | N | yes | n/a |
| PENN INVESTMENT ADVISORS, INC. | n/a | Former SEC adviser | $574M | N | yes | n/a |
| W.P. STEWART ASSET MANAGEMENT LTD. | n/a | Former SEC adviser | $266M | N | yes | n/a |
| ALLIANCEBERNSTEIN CORPORATION | n/a | No RAUM reported | $0 | N | yes | n/a |
| ALLIANCEBERNSTEIN HOLDING L.P. | n/a | No RAUM reported | $0 | N | yes | n/a |
| BERNSTEIN INSTITUTIONAL SERVICES LLC | n/a | No RAUM reported | $0 | N | yes | n/a |
| PLANMEMBER ASSET MANAGEMENT CORPORATION | n/a | No RAUM reported | $0 | N | yes | n/a |
| AB (SHANGHAI) INVESTMENT MANAGEMENT CO., LTD. | n/a | n/a | n/a | N | yes | n/a |
| AB (SHANGHAI) OVERSEAS INVESTMENT FUND MANAGEMENT CO., LTD | n/a | n/a | n/a | N | yes | n/a |
| AB BERNSTEIN ISRAEL LTD. | n/a | n/a | n/a | N | yes | n/a |
| AB TRUST COMPANY, LLC | n/a | n/a | n/a | N | yes | n/a |
| ALLIANCEBERNSTEIN (LUXEMBOURG) S.A. | n/a | n/a | n/a | N | yes | n/a |
| ALLIANCEBERNSTEIN (SINGAPORE) LIMITED | n/a | n/a | n/a | N | yes | n/a |
| ALLIANCEBERNSTEIN ADMINISTRADORA DE CARTEIRAS (BRASIL) LTDA. | n/a | n/a | n/a | N | yes | n/a |
| ALLIANCEBERNSTEIN ASSET MANAGEMENT (KOREA) LTD. | n/a | n/a | n/a | N | yes | n/a |
| ALLIANCEBERNSTEIN AUSTRALIA LIMITED | n/a | n/a | n/a | N | yes | n/a |
| ALLIANCEBERNSTEIN CANADA INC. | n/a | n/a | n/a | N | yes | n/a |
| ALLIANCEBERNSTEIN HONG KONG LIMITED | n/a | n/a | n/a | N | yes | n/a |
| ALLIANCEBERNSTEIN INVESTMENTS, INC. | n/a | n/a | n/a | N | yes | n/a |
| ALLIANCEBERNSTEIN JAPAN LTD. | n/a | n/a | n/a | N | yes | n/a |
| ALLIANCEBERNSTEIN LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BERNSTEIN AUTONOMOUS RESEARCH LLP | n/a | n/a | n/a | N | yes | n/a |
| CARVAL AA GP LP | n/a | n/a | n/a | N | yes | n/a |
| CARVAL AIF GP LP | n/a | n/a | n/a | N | yes | n/a |
| CARVAL AV GP LP | n/a | n/a | n/a | N | yes | n/a |
| CARVAL CCF GP LP | n/a | n/a | n/a | N | yes | n/a |
| CARVAL CCOF CAYMAN GP LP | n/a | n/a | n/a | N | yes | n/a |
| CARVAL CEF GP LP | n/a | n/a | n/a | N | yes | n/a |
| CARVAL CHVF GP LP | n/a | n/a | n/a | N | yes | n/a |
| CARVAL CVF GP LP | n/a | n/a | n/a | Y | yes | n/a |
| CARVAL CVF II GP LP | n/a | n/a | n/a | N | yes | n/a |
| CARVAL CVF III GP LP | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| NEW YORK | NY | United States | 0 | no |
| London | n/a | United Kingdom | 0 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 30, 2026 | $7.3B | $7.3B | 1 | 1 | 2 | 17 | n/a |
| 2024 | Mar 19, 2025 | $6.4B | $6.4B | 1 | 1 | 2 | 14 | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $7.3B | $6.4B | 14.4% | n/a | n/a | 1 | 1 | 2 | 2 |