Private fund adviser · Minneapolis, MN
Carval CLO Management LLC
SEC-registered investment adviser · CRD 298135 · SEC 801-131161
At a glance
Carval CLO Management LLC is an SEC-registered investment adviser based in Minneapolis, Minnesota, with $7.3 billion in regulatory assets under management as of its Form ADV filed September 25, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 750th of 4,686 private fund advisers and 1,647th of 17,210 SEC-registered advisers by assets.
Main office 952-444-4780abcarval.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $7.3B
- Rank among private fund advisers
- #750 of 4,686
- Rank among all SEC RIAs
- #1,647 of 17,210
- Rank in Minnesota
- #29 of 276
- Clients
- 17
- Accounts
- 17
- Discretionary
- 100% of AUM
- Employees
- 1
- Advisory staff
- 1
- Offices
- 3
Owners and executives on its Form ADV
- Christopher A. MawnPresident
- Matthew R. BogartGeneral Counsel of AB Carval Investors L.P.
- Christopher J. HedbergChief Operating Officer of AB Carval Investors L.P.
- Brandynn Y. MorrisChief Financial Officer of AB Carval Investors L.P.
- Paul A. EmersonChief Compliance Officer
Custody and brokerage
Custodian
Carval CLO Management LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Affiliated broker-dealer
It names affiliated broker-dealers: Alliancebernstein Investments, Inc., Bernstein Autonomous Research LLP, Bernstein Institutional Services LLC, Equitable Advisors, LLC, Equitable Distributors, LLC, Planmember Asset Management Corporation, Planmember Securities Corporation, Sanford C. Bernstein & Co., LLC, Sanford C. Bernstein (canada) LTD., Sanford C. Bernstein (hong Kong) Limited and Sanford C. Bernstein (schweiz) Gmbh.
- Alliancebernstein Investments, Inc. ↗CRD 14549
- Bernstein Autonomous Research LLP
- Bernstein Institutional Services LLC ↗CRD 317807
- Equitable Advisors, LLC ↗CRD 6627
- Equitable Distributors, LLC ↗CRD 25900
- Planmember Asset Management Corporation ↗CRD 289591
- Planmember Securities Corporation ↗CRD 11869
- Sanford C. Bernstein & Co., LLC ↗CRD 104474
- Sanford C. Bernstein (canada) LTD.
- Sanford C. Bernstein (hong Kong) Limited
- Sanford C. Bernstein (schweiz) Gmbh
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 17 | $7.3B | 100% |
Private funds
Carval CLO Management LLC reports 17 private funds with $7.3B in gross assets: securitized asset funds (Form ADV Item 7.B).
Disciplinary disclosures
Carval CLO Management LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for pooled investment vehicles
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗abcarval.com ↗
AtlasMembers
The full record on Carval CLO Management LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 2 years of filings
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- Growth over one, three and five years
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- Rank against 1,153 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Carval CLO Management LLC manage?
Carval CLO Management LLC reports $7.3 billion in regulatory assets under management across 17 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 25, 2026.
What kind of firm is Carval CLO Management LLC?
Carval CLO Management LLC is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets. A public reporting company controls it.
Who are Carval CLO Management LLC’s clients?
By assets, its largest client types are pooled investment vehicles ($7.3 billion, 17 clients).
Does Carval CLO Management LLC manage private funds?
Yes. It reports 17 private funds with $7.3 billion in gross assets, including securitized asset funds.
Does Carval CLO Management LLC have any disciplinary history?
Carval CLO Management LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Carval CLO Management LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-25), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →