{"url":"https://nivawealth.com/firms/carlyle-investment-management-111128","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/111128","regulatoryAum":283814531141,"crd":"111128","secFileNumber":"801-52462","legalName":"Carlyle Investment Management L.L.C.","displayName":"Carlyle Investment Management","website":"http://www.carlyle.com","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1001 Pennsylvania Avenue, N.W., Suite 220 South","city":"Washington","state":"DC","stateName":"District of Columbia","country":"United States","postalCode":"20004-2505"},"tradeNames":[],"registration":{"secApproved":"6 August 1996","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":1040,"advisory":317,"brokerDealerReps":3,"insuranceAgents":0,"promoters":1},"aum":{"discretionary":200750388315,"discretionaryAccounts":602,"nonDiscretionary":83064142826,"nonDiscretionaryAccounts":10,"wrapProgram":null,"nonUsClientsPct":67,"nonAumClients":16},"clientTypes":[{"label":"Pooled investment vehicles","clients":595,"regulatoryAum":203401503810},{"label":"State or municipal government entities","clients":1,"regulatoryAum":0},{"label":"Insurance companies","clients":15,"regulatoryAum":80392086429},{"label":"Other","clients":1,"regulatoryAum":20940902}],"fees":[],"feeNotes":[],"custodians":[],"custodyNote":"Carlyle Investment Management has custody of $123.91B for 480 clients.","otherCustodians":[],"leadership":[{"name":"Harvey Schwartz","title":"Chief Executive Officer - the Carlyle Group","crd":"1723597"},{"name":"John Redett","title":"Co-President and Head of Private Equity - the Carlyle Group","crd":"2354558"},{"name":"Justin Plouffe","title":"Chief Financial Officer - the Carlyle Group","crd":"6223477"},{"name":"Lindsay Lobue","title":"Chief Operating Officer - the Carlyle Group","crd":"2955144"},{"name":"Catherine Ziobro","title":"Chief Compliance Officer - the Carlyle Group","crd":"5642930"},{"name":"Kate Heinzelman","title":"General Counsel - the Carlyle Group","crd":"8307533"},{"name":"Heather Mitchell","title":"Chief Risk Officer - the Carlyle Group","crd":"6040519"}],"ownership":[{"label":"TC Group, L.L.C.","detail":"Member in the 75% or more ownership band and a control person, since December 2000."},{"label":"Carlyle Holdings I, L.P.","detail":"Indirect owner: a member of CG Subsidiary Holdings L.L.C. in the 50% to 75% band and a control person, since January 2020.","parent":"CG Subsidiary Holdings L.L.C."},{"label":"Carlyle Holdings I GP Sub L.L.C.","detail":"Indirect owner: general partner of Carlyle Holdings I, L.P. and a control person, since November 2011.","parent":"Carlyle Holdings I, L.P."},{"label":"Carlyle Holdings I GP Inc.","detail":"Indirect owner: a member of Carlyle Holdings I GP Sub L.L.C. in the 75% or more band and a control person, since November 2011.","parent":"Carlyle Holdings I GP Sub L.L.C."},{"label":"The Carlyle Group Inc.","detail":"Indirect owner: a shareholder of Carlyle Holdings I GP Inc. in the 75% or more band and a control person, since November 2011. Also a member of Carlyle Holdings II GP L.L.C. in the 75% or more band and a control person, since November 2011. Also a member of Carlyle Holdings II L.L.C. in the 50% to 75% band and a control person, since January 2020.","parent":"Carlyle Holdings I GP Inc."},{"label":"CG Subsidiary Holdings L.L.C.","detail":"Indirect owner: a member of TC Group, L.L.C. in the 75% or more band and a control person, since January 2020.","parent":"TC Group, L.L.C."},{"label":"Carlyle Holdings II L.L.C.","detail":"Indirect owner: a member of CG Subsidiary Holdings L.L.C. in the 25% to 50% band and a control person, since January 2020.","parent":"CG Subsidiary Holdings L.L.C."},{"label":"Carlyle Holdings II GP L.L.C.","detail":"Indirect owner: a member of Carlyle Holdings II L.L.C. in the 75% or more band and a control person, since November 2011.","parent":"Carlyle Holdings II L.L.C."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":4,"privateResidences":0},"listedOfficeAddresses":5,"officesByState":[{"state":"California","offices":3,"addresses":[{"street":"11100 Santa Monica Boulevard","city":"Los Angeles"},{"street":"2710 Sand Hill Road","city":"Menlo Park"},{"street":"555 Mission Street","city":"San Francisco"}]},{"state":"District of Columbia","offices":1,"addresses":[{"street":"1001 Pennsylvania Avenue, N.W., Suite 220 South","city":"Washington","headquarters":true}]},{"state":"New York","offices":1,"addresses":[{"street":"One Vanderbilt Avenue","city":"New York"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"202-729-5626","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Other","percent":100,"detail":"Interests in Liquidating Trusts; Fee Earning Aum Per Strategic Advisory Services Agreement With Relying Advisor"}],"privateFunds":314},"sources":{"adv1FilingDate":"7 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/111128/PDF/111128.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Carlyle Investment Management have?","answer":"Carlyle Investment Management has 612 clients and manages $283.8 billion for them, as of July 2026. They include 595 pooled investment vehicles, 15 insurance companies and 1 state or municipal government entities.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 7 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Carlyle Investment Management offer?","answer":"Carlyle Investment Management provides portfolio management for pooled vehicles and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Carlyle Investment Management have?","answer":"Carlyle Investment Management has 0 investment adviser representatives registered with state securities authorities, out of 1,040 employees, and 317 perform investment advisory functions. 3 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Carlyle Investment Management invest in?","answer":"At the end of its last fiscal year, Carlyle Investment Management’s separately managed accounts held 100% interests in liquidating trusts; fee earning aum per strategic advisory services agreement with relying advisor. It advises 314 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Carlyle Investment Management?","answer":"Carlyle Investment Management is owned through a chain of holding companies by the Carlyle Group Inc. and Carlyle Holdings II GP L.L.C. Its direct owner is TC Group, L.L.C. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 7 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Carlyle Investment Management get paid?","answer":"Carlyle Investment Management is paid through a percentage of assets under management, fixed fees and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":{"url":"https://nivawealth.com/firms/carlyle-investment-management-111128/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-07","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1527166/000089843226000602/0000898432-26-000602-index.html","totalValue":10000861951,"positionCount":19,"top10Share":0.9994202567710256,"top10":[{"issuer":"Medline Inc","titleOfClass":"Com Cl A","cusip":"58507V107","value":7378581641,"shares":187083713,"shareType":"SH","priorValue":8325225229,"priorShares":187083713},{"issuer":"Standardaero Inc","titleOfClass":"Com","cusip":"85423L103","value":2529998217,"shares":84587035,"shareType":"SH","priorValue":2184883114,"priorShares":84587035},{"issuer":"Phathom Pharmaceuticals Inc","titleOfClass":"Com","cusip":"71722W107","value":37940367,"shares":3496808,"shareType":"SH","priorValue":38849537,"priorShares":3496808},{"issuer":"Invitation Homes Inc","titleOfClass":"Com","cusip":"46187W107","value":20026209,"shares":662900,"shareType":"SH","priorValue":16502885,"priorShares":664100},{"issuer":"Pony Ai Inc","titleOfClass":"Sponsored Ads","cusip":"732908108","value":16419007,"shares":2362447,"shareType":"SH","priorValue":22301500,"priorShares":2362447},{"issuer":"Getty Images Holdings Inc","titleOfClass":"Cl A Com","cusip":"374275105","value":5361457,"shares":6234252,"shareType":"SH","priorValue":4946256,"priorShares":6234252},{"issuer":"Spruce Biosciences Inc","titleOfClass":"Com New","cusip":"85209E208","value":2085493,"shares":38620,"shareType":"SH","priorValue":2523833,"priorShares":38620},{"issuer":"SunPower Inc","titleOfClass":"Com","cusip":"20460L104","value":1610859,"shares":2343750,"shareType":"SH","priorValue":550111,"priorShares":433158},{"issuer":"Adicet Bio Inc","titleOfClass":"Com New","cusip":"007002207","value":1592308,"shares":184295,"shareType":"SH","priorValue":1255048,"priorShares":184295},{"issuer":"Forward Air Corp","titleOfClass":"Com","cusip":"34986A104","value":1448461,"shares":107214,"shareType":"SH","priorValue":1791546,"priorShares":107214}],"positionsListed":19,"positions":[{"issuer":"Medline Inc","titleOfClass":"Com Cl A","cusip":"58507V107","value":7378581641,"shares":187083713,"shareType":"SH","priorValue":8325225229,"priorShares":187083713},{"issuer":"Standardaero Inc","titleOfClass":"Com","cusip":"85423L103","value":2529998217,"shares":84587035,"shareType":"SH","priorValue":2184883114,"priorShares":84587035},{"issuer":"Phathom Pharmaceuticals Inc","titleOfClass":"Com","cusip":"71722W107","value":37940367,"shares":3496808,"shareType":"SH","priorValue":38849537,"priorShares":3496808},{"issuer":"Invitation Homes Inc","titleOfClass":"Com","cusip":"46187W107","value":20026209,"shares":662900,"shareType":"SH","priorValue":16502885,"priorShares":664100},{"issuer":"Pony Ai Inc","titleOfClass":"Sponsored Ads","cusip":"732908108","value":16419007,"shares":2362447,"shareType":"SH","priorValue":22301500,"priorShares":2362447},{"issuer":"Getty Images Holdings Inc","titleOfClass":"Cl A Com","cusip":"374275105","value":5361457,"shares":6234252,"shareType":"SH","priorValue":4946256,"priorShares":6234252},{"issuer":"Spruce Biosciences Inc","titleOfClass":"Com New","cusip":"85209E208","value":2085493,"shares":38620,"shareType":"SH","priorValue":2523833,"priorShares":38620},{"issuer":"SunPower Inc","titleOfClass":"Com","cusip":"20460L104","value":1610859,"shares":2343750,"shareType":"SH","priorValue":550111,"priorShares":433158},{"issuer":"Adicet Bio Inc","titleOfClass":"Com New","cusip":"007002207","value":1592308,"shares":184295,"shareType":"SH","priorValue":1255048,"priorShares":184295},{"issuer":"Forward Air Corp","titleOfClass":"Com","cusip":"34986A104","value":1448461,"shares":107214,"shareType":"SH","priorValue":1791546,"priorShares":107214},{"issuer":"Onkure Therapeutics Inc","titleOfClass":"Com Cl A","cusip":"68277Q105","value":1230721,"shares":269895,"shareType":"SH","priorValue":1117365,"priorShares":269895},{"issuer":"Krispy Kreme Inc","titleOfClass":"Com","cusip":"50101L106","value":1202840,"shares":340748,"shareType":"SH","priorValue":1155136,"priorShares":340748},{"issuer":"Q32 Bio Inc","titleOfClass":"Com","cusip":"746964105","value":769020,"shares":60363,"shareType":"SH","priorValue":7079597,"priorShares":1102741},{"issuer":"Riley Exploration Permian In","titleOfClass":"Com","cusip":"76665T102","value":530387,"shares":16092,"shareType":"SH"},{"issuer":"Nebius Group N.V.","titleOfClass":"Shs Class A","cusip":"N97284108","value":509810,"shares":1846,"shareType":"SH"},{"issuer":"Robinhood Mkts Inc","titleOfClass":"Com Cl A","cusip":"770700102","value":474625,"shares":4733,"shareType":"SH","priorValue":233957,"priorShares":3376},{"issuer":"Jasper Therapeutics Inc","titleOfClass":"Com New","cusip":"471871202","value":448866,"shares":1066189,"shareType":"SH","priorValue":934195,"priorShares":1066189},{"issuer":"N-able Inc","titleOfClass":"Common Stock","cusip":"62878D100","value":343996,"shares":93732,"shareType":"SH","priorValue":437728,"priorShares":93732},{"issuer":"Ramaco Res Inc","titleOfClass":"Com Cl A","cusip":"75134P600","value":287667,"shares":21743,"shareType":"SH"}]},"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}