CARAVEL MANAGEMENT LLC
Adviser information for CARAVEL MANAGEMENT LLC last updated from Form ADV on April 27th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $64.4M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $64.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $64.4M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-123609 |
|---|---|
| SEC ERA File Number | 801-123609 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 319163 |
| Legal Entity Identifier | None |
Principal Office
888 SEVENTH AVE. 30TH FLOORNEW YORK
NY
United States
Monday - Friday, 9-5
Tel: 212-994-9800, Fax: None
Chief Compliance Officer
MARGARET ENGELHARDT
CHIEF ADMINISTRATIVE OFFICER
888 SEVENTH AVE. 30TH FLOOR
NEW YORK
NY
United States
Tel:
212-994-9805
M**********@**************M
(Full email address available in API data)
Industry Affiliates
| CARAVEL PARTNERS LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CARAVEL EGYPTIAN TREASURY FUND L.P. | EGYPTIAN TREASURY BILLS | $64.4M | $0.3M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HARMON, JAMES, ALLEN | Individual | – | MANAGING MEMBER AND CHAIRMAN | 04/2006 | 10-25% |
| HARMON, DEBORAH, LYNN | Individual | – | OWNER | 12/2009 | 10-25% |
| HARMON, DOUGLAS, LEE | Individual | – | OWNER | 12/2009 | 10-25% |
| HARMON, JENNIFER, ANN | Individual | – | OWNER | 06/2010 | 10-25% |
| ENGELHARDT, MARGARET, TERESA | Individual | – | CHIEF COMPLIANCE OFFICER & CHIEF ADMINSTRATIVE OFFICER | 01/2007 | < 5% |
| KIRAZIAN, JEANETTE, G | Individual | – | CHIEF FINANCIAL OFFICER | 11/2021 | < 5% |