CARVAL INVESTORS, LLC
(CRD# 141819 / SEC# 801-71932)
CARVAL CLO MANAGEMENT LLC (RELYING ADVISER) , CARVAL INVESTORS ASSETS CONSULTING (BEIJING) LTD. , CARVAL INVESTORS CONSULTING (SHANGHAI) LTD. , CARVAL INVESTORS CONSULTING (SHANGHAI) LTD. (RELYING ADVISER) , CARVAL INVESTORS CONSULTORIA FINANCEIRA LTDA. , CARVAL INVESTORS FRANCE SAS , CARVAL INVESTORS FRANCE SAS (RELYING ADVISER) , CARVAL INVESTORS GB LLP (RELYING ADVISER) , CARVAL INVESTORS PTE. LTD. , CARVAL INVESTORS PTE. LTD. (RELYING ADVISER) , CARVAL INVESTORS PTE. LTD., TOKYO BRANCH , CARVAL INVESTORS PTE. LTD., TOKYO BRANCH (RELYING ADVISER) , CARVAL INVESTORS UK LIMITED , CARVAL INVESTORS, LLC
The adviser's REGISTRATION status is listed below.
|SEC / JURISDICTION
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securities authorities a copy of their Form ADV and any accompanying amendments
filed with the SEC. These filings are called "notice filings". Below are
the states with which the firm you selected makes its notice filings. Also listed
is the date the firm first became notice filed or registered in each state.
EXEMPT REPORTING ADVISERS
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because
they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules.
Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations.
An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete.
Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV.
Below are the regulators with which an ERA report is filed.
Not Currently an Exempt Reporting Adviser