Carmel Management Iii, LLC (San Francisco)


Carmel Management Iii, LLC is a large advisory firm based in San Francisco. It manages $4.26 billion of regulatory assets for 6 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of California, Colorado, District of Columbia, and 4 other states.

Carmel Management Iii provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Carmel Management Iii: assets under management

The assets under management (AUM) of Carmel Management Iii, LLC is $4.26 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 30% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $4.26 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $709.82 million each.
Carmel Management Iii has custody of $1.99 billion in cash and securities for 6 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Carmel Management Iii, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Carmel Management Iii serves?

The only and largest group of clients of Carmel Management Iii is pooled investment vehicles with 6 clients and $4.26 billion of assets under management. Among the 12 most similar advisory firms, Carmel Management Iii has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $4.26 billion for 6 clients. None of the firm’s clients are foreign persons or businesses.

Carmel Management Iii also advises several private funds. Namely, six real estate funds. The minimum investment commitment required of non-related persons is $5,000,000 for each fund.

Careers at Carmel Management Iii, LLC

The company employs 153 people that are either part- or full-time employees. 7 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.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Ron David Zeff Managing member, managing partner & ceo 1 Sep 1996 75% - 100% 1371837
John Williams Managing partner, investor relations 1 Mar 2000 Other 6026963
Campbell Donald Senior managing partner & chief operating officer 1 Feb 2002 Other 6026962
Donald Douglas Campbell Senior managing partner & chief operating officer 1 Feb 2002 Other 6026962
Christopher John Beda Senior managing partner & chief investment officer 1 Jun 2004 Other 6026965
Chirs Beda Senior managing partner & chief investment officer 1 Jun 2004 Other 6026965
Quinn Ralph Barton Managing partner 1 Mar 2009 Other 2379475
Brian Howard Shuman Managing partner & chief financial officer 1 Jan 2012 Other 4592756
Brian Jeffery Smith Chief compliance officer 1 Feb 2012 Other 6025731
Dennis William Markus Managing partner & chief financial officer 1 Aug 2012 Other 6132657
David Robert Mcwhorter Managing partner 1 Jul 2013 Other 2788885
Michael Aaron Lahorgue Senior managing partner & president 1 Jul 2014 Other 6370736
Daniel Gregory Garibaldi Managing partner, development 1 Mar 2015 Other 2942275

Based in San Francisco

The principal office where Carmel Management Iii, LLC performs its advisory services is located at 1000 Sansome Street, San Francisco, CA 94111, which is also the mailing address of the firm. An additional office of the firm is in Denver, CO. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 415-273-2900 or by fax 415-273-2901. The normal business hours are 9am - 5pm on Monday - Friday. You can find more information about the New York firm at carmelpartners.net.