Investment adviser · CRD 111128

THE CARLYLE GROUP

CARLYLE INVESTMENT MANAGEMENT L.L.C.

WASHINGTON, DC, United States · Form ADV filed Mar 31, 2022

Regulatory AUM: $189B
Client accounts: 582
Employees: 894
Advisory professionals: 297

How this adviser has changed

Annual filings

Regulatory assets under management

Up to five fiscal years, using the latest annual update available at the selected filing date. Asset changes can reflect acquisitions, client flows, and valuations; they are not investment returns.

Annual adviser history and sources
Fiscal year	Regulatory AUM	Employees	Filed
2021	$188,588,265,818	894	Mar 31, 2022

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	569	$187,695,020,382	99.5%
Sovereign wealth & foreign institutions	Fewer than 5	$873,879,423	0.5%
Other clients	Fewer than 5	$19,366,013	0.0%
Government entities	Fewer than 5	Not reported	Not reported
Insurance companies	9	Not reported	Not reported

Filing source

Form ADV 1592546 · Mar 31, 2022 · Item 5.D

Reported by CARLYLE INVESTMENT MANAGEMENT L.L.C. (CRD 111128).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Private funds & service providers

223 detailed fund records

Largest reported gross asset value first; unreported values last. Gross asset value is fund-level disclosure, distinct from adviser AUM and Form D fundraising. Master and feeder funds may overlap.

CARLYLE GLOBAL PARTNERSPrivate Equity Fund · Master$3.71BGross asset value

Search Form D filings →

Fund administrator STATE STREET CORPORATION BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →

Auditor ERNST & YOUNG LTD GEORGE TOWN, Cayman Islands Other funds reporting this name →

Custodian JPMORGAN CHASE BANK, N.A. NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

Custodian STATE STREET BANK & TRUST CO. BOSTON, Massachusetts, United States Related to adviser: No Other funds reporting this name →

Custodian THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. PITTSBURGH, Pennsylvania, United States Related to adviser: No Other funds reporting this name →

Provider details

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

ERNST & YOUNG LTD
PCAOB 1655

Fund details & source

Fund ID: 805-3045416544
Reported beneficial owners: 77
Minimum commitment: $500M

Form ADV 1592546 · Mar 31, 2022 · Schedule D 7.B.(1)

Reported by CARLYLE INVESTMENT MANAGEMENT L.L.C. (CRD 111128).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

CARLYLE ASIA PARTNERS IVPrivate Equity Fund · Master$3.54BGross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

Carlyle Asia Partners IV, L.P.

Auditor ERNST & YOUNG LTD GEORGE TOWN, Cayman Islands Other funds reporting this name →

Custodian AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

Custodian CATHAY UNITED BANK TAIPEI CITY, Taiwan, Republic of China Related to adviser: No Other funds reporting this name →

Custodian DEUTSCHE BANK AG MUMBAI, India Related to adviser: No Other funds reporting this name →

Custodian HSBC BANK (MAURITIUS) LIMITED PORT LOUIS, Mauritius Related to adviser: No Other funds reporting this name →

Custodian JPMORGAN CHASE BANK, N.A. NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

See filing for more → Showing the first 6 providers by role and name. IAPD may show a newer filing.

Provider details

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

ERNST & YOUNG LTD
PCAOB 1655

Fund details & source

Fund ID: 805-3501660610
Reported beneficial owners: 358
Minimum commitment: $5M
Form D file number: 021-187668

Form ADV 1592546 · Mar 31, 2022 · Schedule D 7.B.(1)

Reported by CARLYLE INVESTMENT MANAGEMENT L.L.C. (CRD 111128).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

CARLYLE FRL, L.P.Private Equity Fund$2.97BGross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

Carlyle FRL, L.P.

Auditor ERNST & YOUNG LTD GEORGE TOWN, Cayman Islands Other funds reporting this name →

Custodian JPMORGAN CHASE BANK, N,A. NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

Custodian THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. PITTSBURGH, Pennsylvania, United States Related to adviser: No Other funds reporting this name →

Provider details

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

ERNST & YOUNG LTD
PCAOB 1655

Fund details & source

Fund ID: 805-3494790693
Reported beneficial owners: 7
Minimum commitment: $0
Form D file number: 021-349287

Form ADV 1592546 · Mar 31, 2022 · Schedule D 7.B.(1)

Reported by CARLYLE INVESTMENT MANAGEMENT L.L.C. (CRD 111128).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

CARLYLE INTERNATIONAL ENERGY PARTNERSPrivate Equity Fund · Master$2.89BGross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

Carlyle International Energy Partners, L.P.

Auditor ERNST & YOUNG LTD GEORGE TOWN, Cayman Islands Other funds reporting this name →

Custodian HSBC BANK USA NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

Custodian JPMORGAN CHASE BANK, N.A. NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

Custodian SOCIETE GENERALE LUXEMBOURG, Luxembourg Related to adviser: No Other funds reporting this name →

Custodian THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. PITTSBURGH, Pennsylvania, United States Related to adviser: No Other funds reporting this name →

Custodian WELLS FARGO BANK, N.A. WASHINGTON, District of Columbia, United States Related to adviser: No Other funds reporting this name →

Provider details

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

ERNST & YOUNG LTD
PCAOB 1655

Fund details & source

Fund ID: 805-9125250921
Reported beneficial owners: 301
Minimum commitment: $10M
Form D file number: 021-201800

Form ADV 1592546 · Mar 31, 2022 · Schedule D 7.B.(1)

Reported by CARLYLE INVESTMENT MANAGEMENT L.L.C. (CRD 111128).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

CARLYLE PARTNERS VIIIPrivate Equity Fund · Master$2.79BGross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

Carlyle Partners VIII, L.P.

Auditor ERNST & YOUNG LLP TYSONS, Virginia, United States Other funds reporting this name →

Custodian BANK OF AMERICA, NA DALLAS, Texas, United States Related to adviser: No Other funds reporting this name →

Custodian HSBC BANK (MAURITIUS) LIMITED PORT LOUIS, Mauritius Related to adviser: No Other funds reporting this name →

Custodian JPMORGAN CHASE BANK, N.A. NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

Custodian JPMORGAN CHASE BANK, N.A. LONDON, United Kingdom Related to adviser: No Other funds reporting this name →

Custodian SOCIETE GENERALE LUXEMBOURG CITY, Luxembourg Related to adviser: No Other funds reporting this name →

See filing for more → Showing the first 6 providers by role and name. IAPD may show a newer filing.

Provider details

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

ERNST & YOUNG LLP
PCAOB 42

Fund details & source

Fund ID: 805-9165574867
Reported beneficial owners: 686
Minimum commitment: $10M
Form D file number: 021-412711

Form ADV 1592546 · Mar 31, 2022 · Schedule D 7.B.(1)

Reported by CARLYLE INVESTMENT MANAGEMENT L.L.C. (CRD 111128).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

CARLYLE U.S. EQUITY OPPORTUNITY FUND IIPrivate Equity Fund · Master$2.39BGross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

Carlyle U.S. Equity Opportunity Fund II, L.P.

Auditor ERNST & YOUNG LTD GEORGE TOWN, Cayman Islands Other funds reporting this name →

Custodian AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

Custodian BANK OF AMERICA, NA NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

Custodian CONTINENTAL STOCK TRANSFER & TRUST COMPANY NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

Custodian JPMORGAN CHASE BANK, N.A. NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

Custodian THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. PITTSBURGH, Pennsylvania, United States Related to adviser: No Other funds reporting this name →

See filing for more → Showing the first 6 providers by role and name. IAPD may show a newer filing.

Provider details

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

ERNST & YOUNG LTD
PCAOB 1655

Fund details & source

Fund ID: 805-8345999798
Reported beneficial owners: 345
Minimum commitment: $5M
Form D file number: 021-235141

Form ADV 1592546 · Mar 31, 2022 · Schedule D 7.B.(1)

Reported by CARLYLE INVESTMENT MANAGEMENT L.L.C. (CRD 111128).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

CARLYLE EUROPE TECHNOLOGY PARTNERS IVPrivate Equity Fund · Master$2.16BGross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

Carlyle Europe Technology Partners IV, S.C.Sp.

Auditor ERNST & YOUNG LLP TYSONS, Virginia, United States Other funds reporting this name →

Custodian SOCIETE GENERALE LUXEMBOURG, Luxembourg Related to adviser: No Other funds reporting this name →

Custodian THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. HOUSTON, Texas, United States Related to adviser: No Other funds reporting this name →

Provider details

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

ERNST & YOUNG LLP
PCAOB 42

Fund details & source

Fund ID: 805-7283670660
Reported beneficial owners: 373
Minimum commitment: $5.72M
Form D file number: 021-330481

Form ADV 1592546 · Mar 31, 2022 · Schedule D 7.B.(1)

Reported by CARLYLE INVESTMENT MANAGEMENT L.L.C. (CRD 111128).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Services & filing details

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Showing values from the selected filing. Latest observed filing does not establish current registration status.

What changed?

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Filing source

Form ADV 1592546 · Mar 31, 2022 · Items 1 & 5

Reported by CARLYLE INVESTMENT MANAGEMENT L.L.C. (CRD 111128).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Management of assets

Discretionary: $185B
Non-discretionary: $3.87B

Reported services

Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Fixed · Performance-based

Principal office

1001 PENNSYLVANIA AVENUE, N.W., SUITE 220 SOUTH
WASHINGTON, DC, 20004-2505, United States

CRD 111128

Filing source

Form ADV 1592546 · Mar 31, 2022 · Items 1 & 5

Reported by CARLYLE INVESTMENT MANAGEMENT L.L.C. (CRD 111128).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.