Carlyle Investment Management L.L.C. (Washington)

Name: Carlyle Investment Management L.L.C.
Address: 1001 Pennsylvania Avenue, N.W., Washington, DC, 20004 2505
Telephone: 202-729-5626

Carlyle Investment Management L.L.C. is a large advisory firm based in Washington. It manages $135.68 billion of regulatory assets for 518 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdiction of Texas.

Carlyle Investment Management L.L.C provides portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Carlyle Investment Management L.L.C: assets under management

The assets under management (AUM) of Carlyle Investment Management L.L.C. is $135.68 billion. The firm's AUM has grown by 284% since the beginning of its operation, and $68.06 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $134.46 billion in discretionary accounts and $1.22 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $261.08 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $406.08 million.

Carlyle Investment Management L.L.C has custody of $68.93 billion in cash and securities for 475 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in other assets the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Carlyle Investment Management L.L.C. for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Carlyle Investment Management L.L.C serves?

The firm provides services to pooled investment vehicles, banking or thrift institutions, and sovereign wealth funds and foreign official institutions. The largest group of clients of Carlyle Investment Management L.L.C is pooled investment vehicles with 515 clients and $134.77 billion of assets under management. Among the 9 most similar advisory firms, Carlyle Investment Management L.L.C has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $135.68 billion for 517 clients. 51% of the firm’s clients are foreign persons or businesses.

Carlyle Investment Management L.L.C also advises several private funds. Namely, thirty two real estate funds, one hundred thirty private equity funds, and thirty seven securitized asset funds. The minimum investment commitment required of non-related persons ranges from $0 to $500,000,000.

Careers at Carlyle Investment Management L.L.C.

The company employs 1,002 people that are either part- or full-time employees. 33 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 68 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
William Elias Conway	Co-founder - the carlyle group; control person - carlyle investment management l.l.c. & "relying advisors"	1 Jul 1996	Other	1776820
Daniel Anthony D'aniello	Co-founder - the carlyle group; control person - carlyle investment management l.l.c. & "relying advisors"	1 Jul 1996	Other	1723797
David Mark Rubenstein	Co-founder - the carlyle group; control person - carlyle investment management l.l.c. & "relying advisors"	1 Jul 1996	Other	1723794
Daniel Anthony Daniello	Managing director	1 Jul 1996	Other	1723797
Jeffrey William Ferguson	Managing director/general counsel - the carlyle group	1 Apr 1997	Other	4650762
John Fenton Harris	Managing director/chief compliance officer	1 Apr 1997	Other	4650759
L.L.C. Tc Group	Member - carlyle investment management l.l.c.	1 Dec 2000	75% - 100%	54-1686957
Ralph Francis Mittl	Chief compliance officer	1 Apr 2007	Other	5352299
Peter Hamilton Nachtwey	Managing director/cfo	1 Jul 2007	Other	5512176
L.P. Tc Group Cayman	Member - cim global, l.l.c. (relying advisor)	1 Dec 2007	75% - 100%	09-0206214
Catherine Laboure Ziobro	Managing director - the carlyle group; chief compliance officer - carlyle investment management l.l.c.& "relying advisors"	1 Jan 2009	Other	5642930
L.L.C. Cim Global	Member - cim global asia, l.l.c. (relying advisor)	1 Jan 2010	75% - 100%	26-1660773
Glenn Allen Youngkin	Managing director/cfo	1 Dec 2010	Other	5873993
L.P. Carlyle Realty Investment Holdings Vi	Member - carlyle realty essex ii, l.l.c. (relying advisor)	1 Mar 2011	50% - 75%	45-2041690
Adena Testa Friedman	Chief financial officer	1 Mar 2011	Other	5907640
L.P. Tc Group Investment Holdings	Member - carlyle realty essex ii, l.l.c. (relying advisor)	1 Mar 2011	25% - 50%	51-0406268
Bruce Edward Rosenblum	Managing director/chief risk officer - the carlyle group	1 Aug 2011	Other	6049696
Carlyle Investment Management L.L.C.	Member - churchill financial llc (relying advisor) & cim global, l.l.c. (relying advisor)	1 Nov 2011	75% - 100%	52-1988385
L.P. Tc Group Cayman	Shareholder - carlyle mauritius cis investment management limited	1 Dec 2011	75% - 100%	98-0206214
Tc Group Sub L.P.	Member - carlyle realty essex ii, l.l.c. (relying advisor)	1 May 2012	25% - 50%	80-0789190
Carlyle Investment Management L.L.C.	Member - cim global, l.l.c., carlyle idf management l.l.c., carlyle clo management l.l.c. & churchill financial llc	1 Sep 2012	75% - 100%	52-1988385
Glenn Allen Youngkin	Managing director/co-president & co-coo, the carlyle group	1 Jun 2014	Other	5873993
Michael James Cavanagh	Managing director/co-president & co-coo, the carlyle group	1 Jun 2014	Other	2585961
Curtis Lyle Buser	Managing director/cfo - the carlyle group	1 Dec 2014	Other	5839856
Peter John Clare	Managing director/co-chief investment officer - the carlyle group	1 Jan 2017	Other	1724060
Kewsong Lee	Managing director/co-chief executive officer - the carlyle group	1 Jan 2017	Other	6876015

Indirect Owners

The SEC currently registers 26 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
L.L.C. Dbd Investors V	General partner	1 Nov 1999	Other	52-2224866
William Elias Conway	Managing member	1 Dec 2000	25% - 50%	1776820
Daniel Anthony Daniello	Managing member	1 Dec 2000	25% - 50%	1723797
David Mark Rubenstein	Managing member	1 Dec 2000	25% - 50%	1723794
L.L.C. Tcg Holdings	Member	1 Dec 2000	75% - 100%	54-1686011
Daniel Anthony D'aniello	Managing member - tcg holdings, l.l.c.; president/chairman - orange crimson holdings corporation	1 Dec 2000	25% - 50%	1723797
L.P. Tcg Holdings Cayman	General partner	1 Dec 2000	Other	98-0206215
William Elias Conway	President, vice president, treasurer	1 Apr 2009	75% - 100%	1776820
Daniel Anthony D'aniello	President and secretary	1 Apr 2009	75% - 100%	1723797
David Mark Rubenstein	President, vice president, secretary	1 Apr 2009	75% - 100%	1723794
L.L.C. Dbd Investors V Holdings	Member	1 Dec 2010	75% - 100%	27-4344072
Cammack Holdings Corporation	Member	1 Dec 2010	25% - 50%	52-2002279
Stupar Holdings Corporation	Member	1 Dec 2010	25% - 50%	52-2002275
Orange Crimson Holdings Corporation	Member	1 Dec 2010	25% - 50%	52-2002278
Ltd. Carlyle Offshore Partners Ii	Member	1 Dec 2010	75% - 100%	98-0233709
Ltd. Carlyle Offshore Partners Ii Holdings	Member	1 Dec 2010	75% - 100%	98-0684878
Carlyle Group Management L.L.C.	General partner	1 Jul 2011	Other	45-2831199
L.P. Tcg Holdings Ii	General partner	1 Oct 2011	Other	52-2224872
Carlyle Holdings I Gp Sub L.L.C.	General partner	1 Nov 2011	Other	61-1675874
Carlyle Holdings I Gp Inc.	Member	1 Nov 2011	75% - 100%	80-0784146
L.P. The Carlyle Group	Shareholder - carlyle holdings i gp inc.; member - carlyle holdings iii gp management l.l.c.	1 Nov 2011	75% - 100%	45-2832612
Carlyle Holdings Iii Gp Sub L.L.C.	General partner	1 Nov 2011	Other	90-0795181
Carlyle Holdings Iii Gp L.P.	Member	1 Nov 2011	75% - 100%	98-1036635
Carlyle Holdings Iii Gp Management L.L.C.	General partner	1 Nov 2011	Other	80-0785001
L.P. Carlyle Holdings I	Member	1 May 2012	75% - 100%	80-0784309
Carlyle Holdings Iii L.P.	General partner	1 May 2012	Other	98-1036608

Based in Washington

The principal office where Carlyle Investment Management L.L.C. performs its advisory services is located at 1001 Pennsylvania Avenue, N.W., Washington, DC 20004 2505, which is also the mailing address of the firm. An additional office of the firm is in New York, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 202-729-5626 or by fax 202-347-1818. The normal business hours are 9:00 a.m. to 6:00 p.m. on Monday - Friday. You can find more information about the New York firm at carlyle.com.