Investment adviser · CRD 298135

CARVAL CLO MANAGEMENT LLC

Investment adviser filing (IA)

MINNEAPOLIS, MN, United States · Form ADV filed Sep 25, 2026

Regulatory AUM: $7.3B
Client accounts: 17
Employees: 1
Advisory professionals: 1

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	17	$7,304,940,802	100.0%

Filing source

Form ADV 2134757 · Sep 25, 2026 · Item 5.D

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

Private funds & service providers

17 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

CARVAL CLO II LTDSecuritized Asset Fund · Last reported Sep 25, 2026$661MGross asset value

Fund administrator NORTHERN TRUST HEDGE FUND SERVICES CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian COMPUTERSHARE TRUST CO NA HOUSTON, Texas, United States Related to adviser: No

Provider details

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

Fund details & source

Fund ID: 805-7294565167
Reported beneficial owners: 5
Minimum commitment: $250K

Form ADV 2134757 · Sep 25, 2026 · Schedule D 7.B.(1)

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

CARVAL CLO IX-C LTD.Securitized Asset Fund · Last reported Sep 25, 2026$518MGross asset value

Fund administrator NORTHERN TRUST HEDGE FUND SERVICES CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian DEUTSCHE BANK AG NEW YORK, New York, United States Related to adviser: No

Provider details

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

Fund details & source

Fund ID: 805-7319639286
Reported beneficial owners: 4
Minimum commitment: $250K

Form ADV 2134757 · Sep 25, 2026 · Schedule D 7.B.(1)

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

CARVAL CLO XI-C LTD.Securitized Asset Fund · Last reported Sep 25, 2026$514MGross asset value

Fund administrator NORTHERN TRUST HEDGE FUND SERVICES CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian DEUTSCHE BANK AG NEW YORK, New York, United States Related to adviser: No

Provider details

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

Fund details & source

Fund ID: 805-2418798260
Reported beneficial owners: 5
Minimum commitment: $250K

Form ADV 2134757 · Sep 25, 2026 · Schedule D 7.B.(1)

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

CARVAL CLO X-C LTD.Securitized Asset Fund · Last reported Sep 25, 2026$514MGross asset value

Fund administrator NORTHERN TRUST HEDGE FUND SERVICES CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian DEUTSCHE BANK AG NEW YORK, New York, United States Related to adviser: No

Provider details

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

Fund details & source

Fund ID: 805-9071928878
Reported beneficial owners: 4
Minimum commitment: $250K

Form ADV 2134757 · Sep 25, 2026 · Schedule D 7.B.(1)

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

CARVAL CLO VII-C LTD.Securitized Asset Fund · Last reported Sep 25, 2026$509MGross asset value

Fund administrator NORTHERN TRUST HEDGE FUND SERVICES CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian COMPUTERSHARE TRUST CO NA HOUSTON, Texas, United States Related to adviser: No

Provider details

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

Fund details & source

Fund ID: 805-6833162265
Reported beneficial owners: 6
Minimum commitment: $250K

Form ADV 2134757 · Sep 25, 2026 · Schedule D 7.B.(1)

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

CARVAL CLO VI-C LTD.Securitized Asset Fund · Last reported Sep 25, 2026$502MGross asset value

Fund administrator NORTHERN TRUST HEDGE FUND SERVICES CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian COMPUTERSHARE TRUST CO NA HOUSTON, Texas, United States Related to adviser: No

Provider details

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

Fund details & source

Fund ID: 805-7504476402
Reported beneficial owners: 6
Minimum commitment: $250K

Form ADV 2134757 · Sep 25, 2026 · Schedule D 7.B.(1)

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

AB CARVAL EURO CLO III-C DESIGNATED ACTIVITY COMPANYSecuritized Asset Fund · Last reported Sep 25, 2026$499MGross asset value

Fund administrator NORTHERN TRUST HEDGE FUND SERVICES CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG DUBLIN, Ireland

Custodian DEUTSCHE BANK AG LONDON, United Kingdom Related to adviser: No

Provider details

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

KPMG
PCAOB 1116

Fund details & source

Fund ID: 805-1665749723
Reported beneficial owners: 4
Minimum commitment: $250K

Form ADV 2134757 · Sep 25, 2026 · Schedule D 7.B.(1)

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

Services & filing details

Most recent filing: Sep 25, 2026. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

1601 UTICA AVENUE SOUTH, SUITE 1000
MINNEAPOLIS, MN, 55416-3496, United States

CRD 298135

Filing source

Form ADV 2134757 · Sep 25, 2026 · Items 1 & 5

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