Investment adviser · CRD 111128

THE CARLYLE GROUP

CARLYLE INVESTMENT MANAGEMENT L.L.C.

WASHINGTON, DC, United States · Form ADV filed Mar 30, 2023

Regulatory AUM: $244B
Client accounts: 632
Employees: 1,018
Advisory professionals: 334

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
2022	$243,968,240,347	1,018	Mar 30, 2023

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	612	$197,347,786,434	80.9%
Insurance companies	16	$45,728,716,209	18.7%
Sovereign wealth & foreign institutions	Fewer than 5	$870,086,257	0.4%
Other clients	Fewer than 5	$21,651,447	0.0%
Government entities	Fewer than 5	Not reported	Not reported

Filing source

Form ADV 1715482 · Mar 30, 2023 · Item 5.D

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

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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

274 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.

CBAM 2019-9, LTD.Securitized Asset Fund$536MGross 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: 805-2251154216
Reported beneficial owners: 9
Minimum commitment: $250K

Form ADV 1715482 · Mar 30, 2023 · Schedule D 7.B.(1)

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

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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 2019-2, LTD.Securitized Asset Fund$536MGross asset value

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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 CHICAGO, Illinois, 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: 805-3957081773
Reported beneficial owners: 24
Minimum commitment: $250K

Form ADV 1715482 · Mar 30, 2023 · Schedule D 7.B.(1)

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

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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 GLOBAL MARKET STRATEGIES CLO 2014-4-R, LTD.Securitized Asset Fund$524MGross asset value

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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 CHICAGO, Illinois, 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: 805-3637088315
Reported beneficial owners: 3
Minimum commitment: $250K

Form ADV 1715482 · Mar 30, 2023 · Schedule D 7.B.(1)

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

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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 SPINNAKER PARTNERS 1, L.P.Private Equity Fund$509MGross 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 →

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: 805-9544536208
Reported beneficial owners: 2
Minimum commitment: $0

Form ADV 1715482 · Mar 30, 2023 · Schedule D 7.B.(1)

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

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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 GLOBAL FINANCIAL SERVICES PARTNERS IIPrivate Equity Fund · Master$507MGross asset value

Form D fundraising filings

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

Carlyle Global Financial Services Partners II, L.P.

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

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

Custodian GALWAY INSURANCE HOLDINGS 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 →

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: 805-3547055091
Reported beneficial owners: 199
Minimum commitment: $10M
Form D file number: 021-169836

Form ADV 1715482 · Mar 30, 2023 · Schedule D 7.B.(1)

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

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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 REALTY FUND IIReal Estate Fund · Master$503MGross asset value

Form D fundraising filings

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

Carlyle Europe Realty Fund II, S.C.Sp.

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

Custodian SOCIETE GENERALE LUXEMBOURG CITY, Luxembourg 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: 805-2946050195
Reported beneficial owners: 80
Minimum commitment: $5.1M
Form D file number: 021-406457

Form ADV 1715482 · Mar 30, 2023 · Schedule D 7.B.(1)

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

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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 2021-6, LTD.Securitized Asset Fund$495MGross 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 CHICAGO, Illinois, 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: 805-7096209293
Reported beneficial owners: 17
Minimum commitment: $250K

Form ADV 1715482 · Mar 30, 2023 · Schedule D 7.B.(1)

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

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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 Feb 16, 2023 · previous imported filing

Regulatory AUM$202,092,756,264 → $243,968,240,347
Client accounts606 → 632
Employees894 → 1,018

Filing source

Form ADV 1715482 · Mar 30, 2023 · Items 1 & 5

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

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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: $193B
Non-discretionary: $51.4B

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 1715482 · Mar 30, 2023 · Items 1 & 5

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

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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.