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.

CARLYLE GLOBAL MARKET STRATEGIES CLO 2016-1, LTDSecuritized Asset Fund$352MGross 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: 805-5011787010
Reported beneficial owners: 5
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 INFRASTRUCTURE OPPORTUNITY FUND ACCESS, L.P.Private Equity Fund$342MGross asset value

Form D fundraising filings

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

Carlyle Global Infrastructure Opportunity Fund Access, L.P.

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

Auditor ERNST & YOUNG LLP TYSONS, Virginia, 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: 805-7718123319
Reported beneficial owners: 906
Minimum commitment: $250K
Form D file number: 021-303116

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 ARBOR COINVESTMENT, L.P.Private Equity Fund$338MGross 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 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 ARK PARTNERS, S.C.SPPrivate Equity Fund$337MGross asset value

Form D fundraising filings

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

Carlyle Ark Partners, 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: 805-7947995473
Reported beneficial owners: 13
Minimum commitment: $0
Form D file number: 021-433681

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.

MONTMARTRE EURO CLO 2020-2 DACSecuritized Asset Fund$330MGross 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 U.S. BANK GLOBAL CORPORATE TRUST 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: 805-4512239364
Reported beneficial owners: 15
Minimum commitment: $102K

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.

BASTILLE EURO CLO 2020-3 DACSecuritized Asset Fund$329MGross 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 U.S. BANK GLOBAL CORPORATE TRUST 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: 805-1389012674
Reported beneficial owners: 11
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.

PROJECT GUARDIAN HOLDINGS II LIMITEDPrivate Equity Fund$316MGross asset value

Search Form D filings →

Auditor ERNST & YOUNG LTD GEORGE TOWN, Cayman Islands 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 →

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 LTD
PCAOB 1655

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

Fund details & source

Fund ID: 805-1040710504
Reported beneficial owners: 5
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.

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.