Investment adviser · CRD 111128

THE CARLYLE GROUP

CARLYLE INVESTMENT MANAGEMENT L.L.C.

WASHINGTON, DC, United States · Form ADV filed Oct 4, 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 1791142 · Oct 4, 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

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 2017-3, LTD.Securitized Asset Fund$1.26BGross 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 CITIBANK, N.A. NEW YORK, New York, 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: 805-3501843399
Reported beneficial owners: 13
Minimum commitment: $250K

Form ADV 1791142 · Oct 4, 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 INTERNATIONAL ENERGY PARTNERS IIPrivate Equity Fund · Master$1.19BGross 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 II, S.C.Sp.

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

Fund details & source

Fund ID: 805-7803706865
Reported beneficial owners: 306
Minimum commitment: $10M
Form D file number: 021-326126

Form ADV 1791142 · Oct 4, 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.

CBAM 2017-1 LTD.Securitized Asset Fund$1.18BGross 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 CITIBANK, N.A. NEW YORK, New York, 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: 805-3425922549
Reported beneficial owners: 15
Minimum commitment: $250K

Form ADV 1791142 · Oct 4, 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 HAVASU COINVESTMENT, L.P.Private Equity Fund$1.1BGross asset value

Form D fundraising filings

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

Carlyle Havasu Coinvestment, L.P.

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

Custodian BANK OF AMERICA, N.A. DALLAS, Texas, 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: 805-4863482934
Reported beneficial owners: 33
Minimum commitment: $0
Form D file number: 021-248435

Form ADV 1791142 · Oct 4, 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 CAVALIER FUND, L.P.Private Equity Fund$1.06BGross 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: 805-1786097286
Reported beneficial owners: 2
Minimum commitment: $500M

Form ADV 1791142 · Oct 4, 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 GLOBAL PARTNERS IIPrivate Equity Fund · Master$1.06BGross asset value

Form D fundraising filings

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

Carlyle Global Partners II, L.P.

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 →

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: 805-3382143105
Reported beneficial owners: 84
Minimum commitment: $50M
Form D file number: 021-331220

Form ADV 1791142 · Oct 4, 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.

CBAM 2018-5, LTD.Securitized Asset Fund$960MGross 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 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: 805-2059337123
Reported beneficial owners: 14
Minimum commitment: $250K

Form ADV 1791142 · Oct 4, 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 Mar 30, 2023 · previous imported filing

No comparable changes in the displayed metrics.

Filing source

Form ADV 1791142 · Oct 4, 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: $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 1791142 · Oct 4, 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.