Carlyle Gms Investment Management L.L.C. (New York)

Name: Carlyle Gms Investment Management L.L.C.
Address: 520 Madison Avenue, New York, NY, 10022
Telephone: 212-813-4900

Carlyle Gms Investment Management L.L.C. is a large advisory firm based in New York. It manages $13.92 billion of regulatory assets for 78 client accounts. It has been registered with the SEC as an adviser since 2013.

Carlyle Gms Investment Management L.L.C provides portfolio management for investment companies and portfolio management for pooled investment vehicles. 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 Gms Investment Management L.L.C: assets under management

The assets under management (AUM) of Carlyle Gms Investment Management L.L.C. is $13.92 billion. The firm's AUM has grown by 34152% since the beginning of its operation, and $5.11 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $13.08 billion in discretionary accounts and $838.69 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $169.85 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $838.69 million.

Carlyle Gms Investment Management L.L.C has custody of $4.74 billion in cash and securities for 74 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Carlyle Gms Investment Management L.L.C. for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

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

The firm provides services to pooled investment vehicles and business development companies. The largest group of clients of Carlyle Gms Investment Management L.L.C is pooled investment vehicles with 75 clients and $11.33 billion of assets under management. Among the 8 most similar advisory firms, Carlyle Gms Investment Management L.L.C has the 4th highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $13.92 billion for 78 clients. 37% of the firm’s clients are foreign persons or businesses.

Carlyle Gms Investment Management L.L.C also advises several private funds. Namely, one other private fund, three private equity funds, and one securitized asset fund. The minimum investment commitment required of non-related persons ranges from $0 to $10,000,000.

Careers at Carlyle Gms Investment Management L.L.C.

The company employs 149 people that are either part- or full-time employees. 65 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 16 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/co-cheif investment officer/co-executive chairman - the carlyle group	1 Jul 1996	Other	1776820
Daniel Anthony D'aniello	Co-founder/chairman emeritus - the carlyle group	1 Jul 1996	Other	1723797
David Mark Rubenstein	Co-founder & co-executive chairman - the carlyle group	1 Jul 1996	Other	1723794
Jeffrey William Ferguson	Managing director/general counsel - the carlyle group	1 Apr 1997	Other	4650762
Michael John Petrick	Chief executive officer of carlyle global market strategies business segment	1 Mar 2010	Other	1996184
Ian Jeremy Sandler	Chief operating officer and chief legal officer of carlyle global market strategies business segment	1 Nov 2010	Other	4727363
Karen T Vejseli	Chief financial officer of carlyle global market strategies business segment	1 Jul 2011	Other	4671929
Bruce Edward Rosenblum	Managing director/chief risk officer - the carlyle group	1 Aug 2011	Other	6049696
Kenneth John Kencel	Managing director of the carlyle group	1 Nov 2011	Other	1829913
Carlyle Investment Management L.L.C.	Member	1 Feb 2012	75% - 100%	52-1988385
Matthew Christian Cottrell	Chief compliance officer	1 Jan 2013	Other	6041930
Justin Plouffe	Managing director of the carlyle group	1 Jan 2014	Other	6223477
Orit Mizrachi	Chief operating officer of carlyle global market strategies business segment	1 May 2014	Other	6344937
Seth Evan Gardner	Chief operating officer and chief legal officer of carlyle global market strategies business segment	1 Jun 2014	Other	2559504
Glenn Allen Youngkin	Co-chief executive officer - the carlyle group	1 Jun 2014	Other	5873993
Michael Anthony Hart	Managing director of the carlyle group	1 Aug 2014	Other	2728953
Venugopal Nandkishore Rathi	Chief financial officer of carlyle global market strategies business segment	1 Sep 2014	Other	6466948
Curtis Lyle Buser	Managing director/cfo - the carlyle group	1 Dec 2014	Other	5839856
Rebecca Allyson Sheinberg	Chief compliance officer	1 Jan 2016	Other	5282086
Jeffrey Levin	Managing director of the carlyle group	1 May 2016	Other	4570676
Catherine Laboure Ziobro	Managing director - the carlyle group; chief compliance officer - carlyle gms investment management l.l.c.	1 Jul 2016	Other	5642930
Kewsong Lee	Co-chief executive office -the carlyle group	1 Jan 2017	Other	6876015

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
L.L.C. Tc Group	Member	1 Dec 2000	75% - 100%	54-1686957
Carlyle Group Management L.L.C.	General partner	1 Jul 2011	Other	45-2831199
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
The Carlyle Group L.P.	Shareholder	1 Nov 2011	75% - 100%	45-2832612
Carlyle Holdings I L.P.	Member	1 May 2012	75% - 100%	80-0784309

Based in New York

The principal office where Carlyle Gms Investment Management L.L.C. performs its advisory services is located at 520 Madison Avenue, New York, NY 10022, which is also the mailing address of the firm. An additional office of the firm is in Los Angeles, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-813-4900 or by fax 212-813-4901. 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.