Career
Harvey Schwartz has been Chief Executive Officer - the Carlyle Group of Carlyle Investment Management since February 2023. Harvey Schwartz is a control person of the firm and directly owns under 5% of it.
Carlyle Investment Management L.L.C. is a Washington, DC firm with $284B under management, 612 clients and 317 advisers across 5 offices, as of its July 2026 filing.
Harvey M. Schwartz has served as Carlyle’s chief executive officer and a member of its board since February 2023. He previously held senior leadership roles at Goldman Sachs, including president and co-chief operating officer.
No adviser firm registrations are on Harvey Schwartz’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 23 | General Securities Principal Sales Supervisor | 28 March 2005 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 29 August 2002 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 8 April 2002 |
| Series 63 | Uniform Securities Agent State Law Examination | 24 June 1995 |
| Series 7 | General Securities Representative Examination | 15 June 1995 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Sales Supervisor
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Harvey Mitchell Schwartz
- CRD
- 1723597
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Harvey Schwartz work?
Harvey Schwartz has been Chief Executive Officer - the Carlyle Group of Carlyle Investment Management L.L.C. since February 2023, and is a control person of the firm.
Does Harvey Schwartz have a current investment-adviser registration?
Harvey Schwartz has no current investment-adviser or broker registration.
What exams has Harvey Schwartz passed?
Harvey Schwartz has passed 5 licensing exams: the Series 7, Series 63, Series 9, Series 10 and Series 23. The earliest, the Series 7, was passed in June 1995. FINRA credited Harvey Schwartz with the SIE, which began in October 2018.
Leadership at Carlyle Investment Management
- John RedettCo-President and Head of Private Equity - the Carlyle Group
- Justin PlouffeChief Financial Officer - the Carlyle Group
- Lindsay LobueChief Operating Officer - the Carlyle Group
- Catherine ZiobroChief Compliance Officer - the Carlyle Group
- Kate HeinzelmanGeneral Counsel - the Carlyle Group
- Heather MitchellChief Risk Officer - the Carlyle Group