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


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. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. 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.

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