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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

NGP INVESTMENT ADVISOR, LP

CRD 132049

HOUSTON, TX

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Search this name across graphsid dfx:ria:18f49eb7-d45b-2749-4faf-c05c29fde146

Data as of Mar 27, 2014 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 27, 2014
4 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $293MItem 5.F on the latest filing (2014-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $293M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees: 7
Accounts: 1
SEC number: 801-63264
CRD: 132049
Filings on the tape: 4
First filed: Mar 30, 2012
Latest filed: Mar 27, 2014
Organised: Limited Partnership, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BIAR, LOUIS, SCOTT	CHIEF COMPLIANCE OFFICER/CFO	Na	yes	08/2011	Mar 30, 2012	Mar 27, 2014
ECM CAPITAL, LP	Member	D	yes	12/2012	Mar 30, 2012	Mar 27, 2014
ECMC GP, L.L.C.	GENERAL PARTNER	F	yes	03/2008	Mar 28, 2013	Mar 27, 2014
GARDNER, STEPHEN, KYLE	PRESIDENT & CEO	Na	yes	02/2011	Mar 30, 2012	Mar 27, 2014
HERSH, KENNETH, ASHER	Member	D	yes	03/2008	Mar 30, 2012	Mar 27, 2014
HERSH, KENNETH, ASHER	LIMITED PARTNER	C	yes	06/2007	Mar 30, 2012	Mar 27, 2014
NGP ADMINISTRATION, LLC	GENERAL PARTNER	Na	yes	06/2004	Mar 30, 2012	Mar 27, 2014
BARCLAYS BANK PLC	Owner	E	no	11/2004	Mar 30, 2012	Mar 27, 2014
CARLYLE HOLDINGS I GP INC.	Member	E	no	11/2011	Mar 28, 2013	Mar 27, 2014
CARLYLE HOLDINGS I GP SUB L.L.C.	GENERAL PARTNER	F	no	11/2011	Mar 28, 2013	Mar 27, 2014
CARLYLE HOLDINGS I L.P.	MANAGING MEMBER	E	no	05/2012	Mar 28, 2013	Mar 27, 2014
CARLYLE KNOX HOLDINGS, L.L.C.	Owner	C	no	12/2012	Mar 28, 2013	Mar 27, 2014
CIM (DELAWARE), INC.	MANAGING MEMBER	F	no	12/2012	Mar 28, 2013	Mar 27, 2014
CPIA ACQUISITION NO. 1 LLC	Member	C	no	10/2006	Mar 30, 2012	Mar 27, 2014
CPIA EQUITY NO. 1, INC.	Owner	E	no	05/2007	Mar 30, 2012	Mar 27, 2014
CPIA FINANCE NO. 1 LLC	Owner	E	no	05/2007	Mar 30, 2012	Mar 27, 2014
CPIA HOLDINGS NO. 1 LLC	Owner	E	no	05/2007	Mar 30, 2012	Mar 27, 2014
CPIA INVESTMENTS NO. 1, LIMITED	Owner	E	no	10/2006	Mar 30, 2012	Mar 27, 2014
NGP ENERGY CAPITAL MANAGEMENT, L.L.C.	LIMITED PARTNER	E	no	10/2006	Mar 30, 2012	Mar 27, 2014
NORTHWARF INVESTMENTS LIMITED	Owner	E	no	10/2006	Mar 30, 2012	Mar 27, 2014
TC GROUP, L.L.C.	Shareholder	E	no	12/2001	Mar 28, 2013	Mar 27, 2014
TC GROUP,L.L.C.	Member	E	no	12/2012	Mar 28, 2013	Mar 27, 2014
THE CARLYLE GROUP L.P.	Shareholder	E	no	11/2011	Mar 28, 2013	Mar 27, 2014

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
NGP ENERGY CAPITAL MANAGEMENT, LLC	n/a	Asset manager	$11B	N	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Irving	TX	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 27, 2014	$293M	$293M	10	7	n/a	n/a	n/a
2012	Mar 28, 2013	$312M	$312M	11	8	n/a	n/a	n/a
2011	Mar 30, 2012	$257M	$257M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$293M	$312M	-6.3%	n/a	n/a	10	11	n/a	n/a

Relationships

Affiliated with (1)

→ NGPRegistered adviserother investment adviser
factForm ADV

Controls (6)

← HERSH, KENNETH, ASHEROwnerLIMITED PARTNER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← GARDNER, STEPHEN, KYLEOwnerPRESIDENT & CEO, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← BIAR, LOUIS, SCOTTOwnerCHIEF COMPLIANCE OFFICER/CFO, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← ECM CAPITAL, LPOwnerMEMBER, ownership code D, domestic entity
Mar 30, 2012 to presentfactForm ADV
← ECMC GP, L.L.C.OwnerGENERAL PARTNER, ownership code F, domestic entity
Mar 28, 2013 to presentfactForm ADV
← NGP ADMINISTRATION, LLCOwnerGENERAL PARTNER, ownership code NA, domestic entity
Mar 30, 2012 to presentfactForm ADV

Owns (15)

← BARCLAYS BANK PLCOwnerOWNER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV
← CARLYLE HOLDINGS I GP INC.OwnerMEMBER, ownership code E, domestic entity
Mar 28, 2013 to presentfactForm ADV
← CARLYLE HOLDINGS I GP SUB L.L.C.OwnerGENERAL PARTNER, ownership code F, domestic entity
Mar 28, 2013 to presentfactForm ADV
← CARLYLE HOLDINGS I L.P.OwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 28, 2013 to presentfactForm ADV
← CARLYLE KNOX HOLDINGS, L.L.C.OwnerOWNER, ownership code C, domestic entity
Mar 28, 2013 to presentfactForm ADV
← CIM (DELAWARE), INC.OwnerMANAGING MEMBER, ownership code F, domestic entity
Mar 28, 2013 to presentfactForm ADV
← CPIA ACQUISITION NO. 1 LLCOwnerMEMBER, ownership code C, domestic entity
Mar 30, 2012 to presentfactForm ADV
← CPIA EQUITY NO. 1, INC.OwnerOWNER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← CPIA FINANCE NO. 1 LLCOwnerOWNER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← CPIA HOLDINGS NO. 1 LLCOwnerOWNER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← CPIA INVESTMENTS NO. 1, LIMITEDOwnerOWNER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV
← NGP ENERGY CAPITAL MANAGEMENT, L.L.C.OwnerLIMITED PARTNER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← NORTHWARF INVESTMENTS LIMITEDOwnerOWNER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV
← TC GROUP, L.L.C.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 28, 2013 to presentfactForm ADV
← THE CARLYLE GROUP L.P.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 28, 2013 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:18f49eb7-d45b-2749-4faf-c05c29fde146
First observed: Mar 30, 2012
Last observed: Mar 27, 2014 152 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

NGP INVESTMENT ADVISOR, LP

CRD 132049

HOUSTON, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:18f49eb7-d45b-2749-4faf-c05c29fde146

Data as of Mar 27, 2014 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:45 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BIAR, LOUIS, SCOTT

CHIEF COMPLIANCE OFFICER/CFO

yes

08/2011

Mar 30, 2012

Mar 27, 2014

ECM CAPITAL, LP

Member

yes

12/2012

Mar 30, 2012

Mar 27, 2014

ECMC GP, L.L.C.

GENERAL PARTNER

yes

03/2008

Mar 28, 2013

Mar 27, 2014

GARDNER, STEPHEN, KYLE

PRESIDENT & CEO

yes

02/2011

Mar 30, 2012

Mar 27, 2014

HERSH, KENNETH, ASHER

Member

yes

03/2008

Mar 30, 2012

Mar 27, 2014

HERSH, KENNETH, ASHER

LIMITED PARTNER

yes

06/2007

Mar 30, 2012

Mar 27, 2014

NGP ADMINISTRATION, LLC

GENERAL PARTNER

yes

06/2004

Mar 30, 2012

Mar 27, 2014

BARCLAYS BANK PLC

Owner

11/2004

Mar 30, 2012

Mar 27, 2014

CARLYLE HOLDINGS I GP INC.

Member

11/2011

Mar 28, 2013

Mar 27, 2014

CARLYLE HOLDINGS I GP SUB L.L.C.

GENERAL PARTNER

11/2011

Mar 28, 2013

Mar 27, 2014

CARLYLE HOLDINGS I L.P.

MANAGING MEMBER

05/2012

Mar 28, 2013

Mar 27, 2014

CARLYLE KNOX HOLDINGS, L.L.C.

Owner

12/2012

Mar 28, 2013

Mar 27, 2014

CIM (DELAWARE), INC.

MANAGING MEMBER

12/2012

Mar 28, 2013

Mar 27, 2014

CPIA ACQUISITION NO. 1 LLC

Member

10/2006

Mar 30, 2012

Mar 27, 2014

CPIA EQUITY NO. 1, INC.

Owner

05/2007

Mar 30, 2012

Mar 27, 2014

CPIA FINANCE NO. 1 LLC

Owner

05/2007

Mar 30, 2012

Mar 27, 2014

CPIA HOLDINGS NO. 1 LLC

Owner

05/2007

Mar 30, 2012

Mar 27, 2014

CPIA INVESTMENTS NO. 1, LIMITED

Owner

10/2006

Mar 30, 2012

Mar 27, 2014

NGP ENERGY CAPITAL MANAGEMENT, L.L.C.

LIMITED PARTNER

10/2006

Mar 30, 2012

Mar 27, 2014

NORTHWARF INVESTMENTS LIMITED

Owner

10/2006

Mar 30, 2012

Mar 27, 2014

TC GROUP, L.L.C.

Shareholder

12/2001

Mar 28, 2013

Mar 27, 2014

TC GROUP,L.L.C.

Member

12/2012

Mar 28, 2013

Mar 27, 2014

THE CARLYLE GROUP L.P.

Shareholder

11/2011

Mar 28, 2013

Mar 27, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NGP ENERGY CAPITAL MANAGEMENT, LLC

n/a

Asset manager

$11B

n/a

City

State

Country

Employees

Also broker-dealer

Irving

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Mar 27, 2014

$293M

n/a

2012

Mar 28, 2013

$312M

n/a

2011

Mar 30, 2012

$257M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$293M

$312M

-6.3%

n/a