Carval Investors, LLC (Hopkins)


Carval Investors, LLC is a large advisory firm based in Hopkins. It manages $15.83 billion of regulatory assets for 46 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdiction of Minnesota.

Carval Investors provides portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Carval Investors: assets under management

The assets under management (AUM) of Carval Investors, LLC is $15.83 billion. The firm's AUM has grown by 66% since the beginning of its operation, and $4.25 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $15.4 billion in discretionary accounts and $424.83 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $405.38 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $53.1 million.

Investments

The firm invests in other assets the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Carval Investors, LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Paul Damian Conway serves?

The only and largest group of clients of Paul Damian Conway is pooled investment vehicles with 43 clients and $15.6 billion of assets under management. Among the 9 most similar advisory firms, Carval Investors has the 4th highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $15.6 billion for 43 clients. 16% of the firm’s clients are foreign persons or businesses.

Carval Investors also advises several private funds. Namely, thirty nine hedge funds, two real estate funds, and three securitized asset funds. The minimum investment commitment required of non-related persons ranges from $250,000 to $10,000,000.

Careers at Carval Investors, LLC

The company employs 167 people that are either part- or full-time employees. 42 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Paul Damian Conway has been acting as President since 1 Aug 2009. Carval Clo Management Llc (Owner Relying Adviser) joined the executive team most recently as the Shareholder.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Cargill Financial Services Corporation Shareholder, 100% class a securities 1 Dec 2005 75% - 100% 41-1492786
Linda Susan Cutler Director 1 Feb 2006 Other 1674999
Llc (Owner Of Relying Adviser) Carval Investors Shareholder 1 May 2006 75% - 100% 20-3793520
L.P. Carval Ownership Shareholder, 100% class b securities 1 Jun 2006 Other 20-5184570
Carval Investors Luxembourg S.A R.L. (Owner Of Relying Adviser) Shareholder 1 Jul 2006 75% - 100% 98-1022566
Carval Investors Pte. Ltd. (Owner Of Relying Adviser) Shareholder 1 Nov 2006 75% - 100% 98-0505907
John Roger Simpson Brice President and director 1 Nov 2006 Other 5854611
Peter Alan Vorbrich Principal and chief financial officer 1 Nov 2006 Other 5854616
Timothy Scott Clark Principal and director 1 Nov 2006 Other 5854619
Herve Leopold Denis Sarteau Principal 1 Nov 2006 Other 5854624
Uzi Rosha Chief compliance officer 1 Jun 2007 Other 4801414
Uzi (Nmn) Rosha Chief compliance officer 1 Jun 2007 Other 4801414
Matthew Robert Bogart General counsel and chief compliance officer 1 Aug 2007 Other 5854623
L.P. Carval Ownership Shareholder, 100% class b securities 1 Nov 2007 Other 20-5184570
John Roger Simpson Brice President, cio, director 1 Feb 2008 Other 5854611
Sergio Agapito Lires Rial Director 1 Jun 2008 Other 4561588
David Wood Maclennan Director 1 Sep 2008 Other 2025872
Paul Damian Conway Director 1 Aug 2009 Other 5707373
Peter Alan Vorbrich Cfo, director 1 Aug 2010 Other 5854616
Patrick Michael Cooley Controller 1 Aug 2010 Other 6034140
Inc. Cfsc Investments Member, shareholder 1 May 2011 75% - 100% 45-2449105
David Patrick Corridan Director 1 Nov 2012 Other 1623582
David Alexander Robertson Director 1 Jan 2013 Other 6144084
Carval Investors Uk Limited (General Partner Of Relying Advisor) General partner 1 Sep 2013 75% - 100% 98-0505554
Jayme Donald Olson Director 1 Dec 2015 Other 6613435
Jody Ann Gunderson Executive managing director; director 1 Jun 2016 Other 6678102
James Patrick Ganley Executive managing director; director 1 Jun 2016 Other 1690947
Lucas Kole Detor Executive managing director 1 Jun 2016 Other 4226286
Hector Enrique Fernandez Director 1 Jul 2016 Other 4299104
Christopher John Hedberg Chief financial officer 1 Jan 2017 Other 2263364
Lucas Kole Detor Managing principal; management director 1 Jun 2017 Other 4226286
Carval Clo Management Llc (Owner Relying Adviser) Shareholder 1 Jul 2017 75% - 100% 82-2320808

Indirect Owners

The SEC currently registers 3 indirect owners.

Name Entity Date acquired Ownership Employer ID
Incorporated Cargill Shareholder 1 Jun 1984 75% - 100% 41-0177680
Llc Carval Ownership Gp General partner 1 Jun 2006 Other 20-5184545
Cargill Financial Services Corporation Shareholder 1 May 2011 75% - 100% 41-1492786

Based in Hopkins

The principal office where Carval Investors, LLC performs its advisory services is located at 9320 Excelsior Boulevard, Hopkins, MN 55343, which is also the mailing address of the firm. An additional office of the firm is in New York, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 952-444-4780. The normal business hours are 8:00 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at carvalinvestors.com/ and its LinkedIn profile.