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 EUROPE REAL ESTATE MASTER CO-INVESTMENT III-U2, L.P.Real Estate Fund$1.19MGross asset value

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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 WELLS FARGO BANK, N.A. LONDON, United Kingdom 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: 805-4040700285
Reported beneficial owners: 2
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.

CARLYLE EUROPE REAL ESTATE MASTER CO-INVESTMENT III-U, L.P.Real Estate Fund$985KGross asset value

Form D fundraising filings

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

Carlyle Europe Real Estate Master Co-Investment III-U, L.P.

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 WELLS FARGO BANK, N.A. LONDON, United Kingdom 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: 805-7014005855
Reported beneficial owners: 16
Minimum commitment: $0
Form D file number: 021-172525

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.

CTS II FUNDO DE INVESTIMENTO EM PARTICIPACOESPrivate Equity Fund$850KGross asset value

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Fund administrator LIONS TRUST ADMINISTRADORA DE RECURSOS LTDA SAO PAULO, Brazil Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →

Auditor ERNST & YOUNG AUDITORES INDEPENDENTES S.S. SÃO PAULO, Brazil Other funds reporting this name →

Custodian BANCO SANTANDER BRASIL SAO PAULO, Brazil 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 AUDITORES INDEPENDENTES S.S.
PCAOB 1448

Fund details & source

Fund ID: 805-2489677561
Reported beneficial owners: 6
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.

CARLYLE-CLIPPER COINVESTMENT, L.P.Private Equity Fund$669KGross asset value

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Auditor ERNST & YOUNG LLP TYSONS, Virginia, United States 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 TCW GROUP, INC. LOS ANGELES, California, 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: No

ERNST & YOUNG LLP
PCAOB 42

Fund details & source

Fund ID: 805-9940585074
Reported beneficial owners: 10
Minimum commitment: $1M

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 GIOVANNA PARTNERS, L.P.Private Equity Fund$644KGross asset value

Form D fundraising filings

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

Carlyle Giovanna Partners, L.P.

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

Custodian JPMORGAN CHASE BANK, N.A. LONDON, United Kingdom 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: 805-4346358212
Reported beneficial owners: 13
Minimum commitment: $0
Form D file number: 021-195339

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.

EMERALD CO-INVESTMENT LIMITEDPrivate Equity Fund$582KGross asset value

Form D fundraising filings

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

Emerald Co-Investment Ltd

Fund administrator GFIN CORPORATE SERVICES LTD. EBENE, Mauritius Investor statements: No (provided to no investors) Related to adviser: No Other funds reporting this name →

Auditor ERNST & YOUNG LLP TYSONS, Virginia, United States 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 EBENE, Mauritius 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 LLP
PCAOB 42

Fund details & source

Fund ID: 805-3536902966
Reported beneficial owners: 3
Minimum commitment: $0
Form D file number: 021-329079

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 GMS OPPORTUNISTIC CREDIT FUND (M-2015), L.P.Securitized Asset Fund$527KGross asset value

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Fund administrator STATE STREET FUND SERVICES, INC. BOSTON, Massachusetts, United States Investor statements: No (provided to no investors) Related to adviser: No Other funds reporting this name →

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States Other funds reporting this name →

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, 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 LLP
PCAOB 42

Fund details & source

Fund ID: 805-3458906979
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.

Services & filing details

View a filing

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.