DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Carval Clo Management LLC
Latest filing Mar 30, 2026
First filing on the tape Aug 22, 2024 · 6 filings
SEC status approved since Sep 23, 2024
RAUM
$7.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
17
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$7.3B as of Mar 30, 2026
Feb 14, 2025$4.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Feb 14, 20250 then
Employees (5.A)1 as of Mar 30, 2026
Feb 14, 20251 then
Private funds17 as of Mar 30, 2026
Feb 14, 202513 then
RAUM +14% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $430MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$7.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 17reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Carval Clo II Ltd | Securitized Asset Fund | $713M | 5 | Jul 22, 2019 |
| Carval Clo Ix-C Ltd. | Securitized Asset Fund | $531M | 4 | May 1, 2024 |
| Carval Clo Vi-C Ltd. | Securitized Asset Fund | $512M | 6 | Jul 29, 2022 |
| Carval Clo Vii-C Ltd. | Securitized Asset Fund | $511M | 6 | Aug 11, 2023 |
| Carval Clo III Ltd | Securitized Asset Fund | $503M | 2 | Sep 19, 2019 |
| Carval Clo I Ltd | Securitized Asset Fund | $474M | 6 | Oct 3, 2018 |
| Carval Clo V-C Ltd. | Securitized Asset Fund | $434M | 7 | Jan 31, 2022 |
| Carval Clo Viii-C Ltd. | Securitized Asset Fund | $408M | 6 | Jan 24, 2023 |
| Carval Clo IV Ltd | Securitized Asset Fund | $406M | 5 | Oct 19, 2021 |
| Ab Carval Euro Clo I-C Designated Activity Company | Securitized Asset Fund | $390M | 4 | Feb 8, 2024 |
| Ab Carval Euro Clo II-C Designated Activity Company | Securitized Asset Fund | $37.4M | 4 | May 1, 2024 |
Owners and control persons
Schedule A and B, latest filing
- Robert Matthew Bogart · General Counsel Of Ab Carval Investors L.P.controlsince 08/2007 · owns less than 5%
- John Christopher Hedberg · Chief Operating Officer Of Ab Carval Investors L.P.controlsince 01/2017 · owns less than 5%
- Alan Christopher Mawn · Presidentcontrolsince 08/2017 · owns less than 5%
- Young Brandynn Morris · Chief Financial Officer Of Ab Carval Investors L.P.controlsince 01/2023 · owns less than 5%
- Ramona Farris Christie Oberg · Chief Compliance Officercontrolsince 07/2022 · owns less than 5%
Entity owners
- Carval Clo Management Holdings, L.P. · Shareholderdirect · owns 75% or more
- Ab Carval Investors, LP · Limited Partnerindirect · owns 75% or more of Carval Clo Management Gp
- Alliancebernstein Holding L.P. · Limited Partnerindirect · owns 25% to 50% of Alliancebernstein L.P. · public reporting company
- Alliancebernstein L.P. · General Partnerindirect · owns 75% or more of Ab Carval Investors, LP
- Alpha Units Holdings Inc · Limited Partnerindirect · owns 25% to 50% of Alliancebernstein L.P.
- Carval Clo Management Gp · General Partnerindirect · owns F of Carval Clo Management Holdings, L.P.
- Equitable Holdings Inc · Shareholderindirect · owns 75% or more of Alpha Units Holdings Inc · public reporting company
Related persons
Schedule D 7.A
- Ab (Shanghai) Investment Management Co., Ltd.investment advisern
- Ab (Shanghai) Overseas Investment Fund Management Co., Ltdinvestment advisern
- Ab Bernstein Israel Ltd.investment advisern
- Ab Broadly Syndicated Loan Manager LLCinvestment advisernRAUM $2.6B
- Ab Carval Investors, LPinvestment adviserbanknRAUM $18B
- Ab Custom Alternative Solutions LLCinvestment adviserbanknRAUM $1.4B
- Ab Private Credit Investors LLCinvestment advisernRAUM $11B
- Ab Trust Company, LLCn
- Alliancebernstein (Luxembourg) S.A.investment advisern
- Alliancebernstein (Singapore) Limitedinvestment advisern
- Alliancebernstein Administradora De Carteiras (Brasil) Ltda.investment advisern
- Alliancebernstein Asset Management (Korea) Ltd.investment advisern
- Alliancebernstein Australia Limitedinvestment advisern
- Alliancebernstein Canada Inc.investment advisern
- Alliancebernstein Corporationinvestment advisern
- Alliancebernstein Holding L.P.investment advisern
- Alliancebernstein Hong Kong Limitedinvestment advisern
- Alliancebernstein Investments, Inc.broker-dealerreal estaten
- Alliancebernstein Japan Ltd.investment advisern
- Alliancebernstein L.P.investment adviserbankpooled vehicle sponsoryRAUM $763B
- Alliancebernstein Limitedinvestment advisern
- Bernstein Autonomous Research Llpbroker-dealern
- Bernstein Institutional Services LLCbroker-dealerinvestment advisern
- Carval Aa Gp LPpooled vehicle sponsorn
- Carval Aif Gp LPpooled vehicle sponsorn
- Carval Av Gp LPpooled vehicle sponsorn
- Carval Ccf Gp LPpooled vehicle sponsorn
- Carval Ccof Cayman Gp LPpooled vehicle sponsorn
- Carval Cef Gp LPpooled vehicle sponsorn
- Carval Chvf Gp LPpooled vehicle sponsorn
Advisers that list Carval Clo Management LLC as a related person
- 141819 y
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom
- New York, NY
What changed
consecutive filings, newest first
- Accounts · 14 to 17Jul 1, 2025 to Mar 30, 2026
- Pooled vehicle clients · 14 to 17Jul 1, 2025 to Mar 30, 2026
- Private funds · 15 to 17Jul 1, 2025 to Mar 30, 2026
- Discretionary RAUM · $6.4B to $7.3BJul 1, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $6.4B to $7.3BJul 1, 2025 to Mar 30, 2026
- RAUM · $6.4B to $7.3BJul 1, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 19, 2025 to Jul 1, 2025
- Private funds · 14 to 15Mar 19, 2025 to Jul 1, 2025
- Accounts · 11 to 14Feb 14, 2025 to Mar 19, 2025
- Pooled vehicle clients · 11 to 14Feb 14, 2025 to Mar 19, 2025
- Private funds · 13 to 14Feb 14, 2025 to Mar 19, 2025
- Discretionary RAUM · $4.9B to $6.4BFeb 14, 2025 to Mar 19, 2025
- Pooled vehicle RAUM · $4.9B to $6.4BFeb 14, 2025 to Mar 19, 2025
- RAUM · $4.9B to $6.4BFeb 14, 2025 to Mar 19, 2025
- Private funds · 11 to 13Sep 3, 2024 to Feb 14, 2025
- Advisory employees · 0 to 1Aug 22, 2024 to Sep 3, 2024
- Employees · 0 to 1Aug 22, 2024 to Sep 3, 2024
Signals
2 dated events
- Carval Clo Management Llc reported RAUM $6.4B, up 30% from $4.9B (2025-02-14 to 2025-03-19)Mar 19, 2025 · RAUM change · derived
- Carval Clo Management Llc filed its initial SEC registration (Form ADV)Aug 22, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/carval-investorsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- abcarval.com/us/en-us/investors/home.htmlreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 952-444-4780reportedpublic record, Form ADV, Mar 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026