Investment adviser · CRD 111128

THE CARLYLE GROUP

CARLYLE INVESTMENT MANAGEMENT L.L.C.

WASHINGTON, DC, United States · Form ADV filed Feb 16, 2023

Regulatory AUM: $202B
Client accounts: 606
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	593	$201,199,510,828	99.6%
Sovereign wealth & foreign institutions	Fewer than 5	$873,879,423	0.4%
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 1712404 · Feb 16, 2023 · Item 5.D

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

Other-Than Anual Amendment For Registered Adviser.

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

247 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 MOZART COINVESTMENT, L.P.Private Equity Fund$294MGross asset value

Form D fundraising filings

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

Carlyle Mozart Coinvestment, L.P.

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

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

Marketer TCG CAPITAL MARKETS L.L.C. NEW YORK, New York, United States Related to adviser: Yes Other funds reporting this name →

Provider details

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

ERNST & YOUNG LLP
PCAOB 42

TCG CAPITAL MARKETS L.L.C.
CRD 291767 · SEC 8-70061

Fund details & source

Fund ID: 805-5448930255
Reported beneficial owners: 4
Minimum commitment: $0
Form D file number: 021-410046

Form ADV 1712404 · Feb 16, 2023 · Schedule D 7.B.(1)

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

Other-Than Anual Amendment For Registered Adviser.

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 GROWTHPrivate Equity Fund · Master$292MGross asset value

Form D fundraising filings

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

Carlyle Partners Growth, L.P.

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

Custodian BANCO BRADESCO SAO PAULO, Brazil Related to adviser: No Other funds reporting this name →

Custodian BANK OF AMERICA, NA DALLAS, Texas, 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 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: 805-5791750201
Reported beneficial owners: 348
Minimum commitment: $10M
Form D file number: 021-412781

Form ADV 1712404 · Feb 16, 2023 · Schedule D 7.B.(1)

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

Other-Than Anual Amendment For Registered Adviser.

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 US CLO 2021-J, LTD.Securitized Asset Fund$287MGross asset value

Search Form D filings →

Fund administrator US BANK NA MINNEAPOLIS, Minnesota, United States Investor statements: No (provided to no investors) Related to adviser: No Other funds reporting this name →

Custodian US BANK NA HOUSTON, Texas, United States Related to adviser: No Other funds reporting this name →

Provider details

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

Fund details & source

Fund ID: 805-4470333649
Reported beneficial owners: 0
Minimum commitment: $250K

Form ADV 1712404 · Feb 16, 2023 · Schedule D 7.B.(1)

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

Other-Than Anual Amendment For Registered Adviser.

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 ARBOR COINVESTMENT, L.P.Private Equity Fund$286MGross asset value

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Auditor ERNST & YOUNG LLP TYSONS, Virginia, United States 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 →

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: 805-3132490204
Reported beneficial owners: 4
Minimum commitment: $0

Form ADV 1712404 · Feb 16, 2023 · Schedule D 7.B.(1)

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

Other-Than Anual Amendment For Registered Adviser.

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.

SHAWNEE 2021-1 LLCSecuritized Asset Fund$265MGross asset value

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Fund administrator VIRTUS GROUP, LP HOUSTON, Texas, United States Investor statements: No (provided to no investors) Related to adviser: No Other funds reporting this name →

Custodian US BANK NA HOUSTON, Texas, United States Related to adviser: No Other funds reporting this name →

Provider details

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

Fund details & source

Fund ID: 805-9397936842
Reported beneficial owners: 1
Minimum commitment: $250K

Form ADV 1712404 · Feb 16, 2023 · Schedule D 7.B.(1)

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

Other-Than Anual Amendment For Registered Adviser.

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.

TROCADERO FUNDING DACSecuritized Asset Fund$264MGross asset value

Search Form D filings →

Fund administrator VIRTUS GROUP, LP HOUSTON, Texas, United States Investor statements: No (provided to no investors) Related to adviser: No Other funds reporting this name →

Custodian US BANK TRUSTEES LIMITED LONDON, United Kingdom Related to adviser: No Other funds reporting this name →

Provider details

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

Fund details & source

Fund ID: 805-3383848773
Reported beneficial owners: 1
Minimum commitment: $250K

Form ADV 1712404 · Feb 16, 2023 · Schedule D 7.B.(1)

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

Other-Than Anual Amendment For Registered Adviser.

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 PRIVATE EQUITY ACCESS FUND IVPrivate Equity Fund · Master$263MGross asset value

Form D fundraising filings

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

Carlyle Private Equity Access Fund IV, L.P.

Fund administrator ICAPITAL NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes Other funds reporting this name →

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

Custodian FIRST REPUBLIC SAN FRANCISCO, California, 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: 805-4603261061
Reported beneficial owners: 464
Minimum commitment: $250K
Form D file number: 021-307289

Form ADV 1712404 · Feb 16, 2023 · Schedule D 7.B.(1)

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

Other-Than Anual Amendment For Registered Adviser.

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?

Since Aug 30, 2022 · previous imported filing

No comparable changes in the displayed metrics.

Filing source

Form ADV 1712404 · Feb 16, 2023 · Items 1 & 5

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

Other-Than Anual Amendment For Registered Adviser.

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: $198B
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 1712404 · Feb 16, 2023 · Items 1 & 5

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

Other-Than Anual Amendment For Registered Adviser.

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.