DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Csl III Advisor, LLC

Former SEC-registered adviserNew York, New YorkCRD 316704SEC 801-122493websiteIAPD
Latest filing Jul 3, 2024
First filing on the tape Sep 13, 2021 · 9 filings
SEC status approved since Oct 13, 2021
RAUM
$488M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
305
160 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$488M as of Mar 28, 2024
Mar 31, 2022$386,480 then
HNW client RAUM$0 as of Mar 28, 2024
Mar 31, 2022$0 then
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 31, 20220 then
Employees (5.A)305 as of Mar 28, 2024
Mar 31, 2022228 then
Private funds: no history
RAUM +127% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 3, 2024; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$488MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+127%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Elias William Conway · Co-Founder - The Carlyle Groupcontrol
        since 07/1996 · owns less than 5%
      • Anthony Daniel D'Aniello · Co-Founder - The Carlyle Groupcontrol
        since 07/1996 · owns less than 5%
      • William Jeffrey Ferguson · Managing Director/General Counsel - The Carlyle Groupcontrol
        since 05/1999 · owns less than 5%
      • P. Lindsay Lobue · Chief Operating Officer - The Carlyle Groupcontrol
        since 07/2024 · owns less than 5%
      • Ann Heather Mitchell · Managing Director/Chief Risk Officer - The Carlyle Groupcontrol
        since 03/2021 · owns less than 5%
      • Christopher John Redett · Managing Director/Chief Financial Officer - The Carlyle Groupcontrol
        since 10/2023 · owns less than 5%
      • Mark David Rubenstein · Co-Founder -The Carlyle Groupcontrol
        since 07/1996 · owns less than 5%
      • Mitchell Harvey Schwartz · Managing Director/Chief Executive Officer - The Carlyle Groupcontrol
        since 02/2023 · owns less than 5%
      • Laboure Catherine Ziobro · Global Chief Compliance Officer - The Carlyle Groupcontrol
        since 01/2009 · owns less than 5%
      Entity owners
      • Carlyle Global Credit Investment Management L.L.C. · Member
        direct · owns 75% or more
      • Carlyle Holdings I Gp Inc. · Member
        indirect · owns 75% or more of Carlyle Holdings I Gp Sub L.L.C.
      • Carlyle Holdings I Gp Sub L.L.C. · General Partner
        indirect · owns F of Carlyle Holdings I L.P.
      • Carlyle Holdings I L.P. · Member
        indirect · owns 50% to 75% of Cg Subsidiary Holdings L.L.C.
      • Carlyle Holdings II Gp L.L.C. · Member
        indirect · owns 75% or more of Carlyle Holdings II L.L.C.
      • Carlyle Holdings II L.L.C. · Member
        indirect · owns 25% to 50% of Cg Subsidiary Holdings L.L.C.
      • Cg Subsidiary Holdings L.L.C. · Member
        indirect · owns 75% or more of Tc Group, L.L.C.
      • Tc Group, L.L.C. · Member
        indirect · owns 75% or more of The Carlyle Group
      • The Carlyle Group · Member
        indirect · owns 75% or more of Carlyle Global Credit Investment Management L.L.C.
      • The Carlyle Group Inc. · Shareholder
        indirect · owns 75% or more of Carlyle Holdings I Gp Inc. · public reporting company
      • The Carlyle Group Inc. · Member
        indirect · owns 75% or more of Carlyle Holdings II Gp L.L.C. · public reporting company
      • The Carlyle Group Inc. · Member
        indirect · owns 50% to 75% of Carlyle Holdings II L.L.C. · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Csl III Advisor, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Los Angeles, CA2 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 153 to 160
        Oct 4, 2023 to Mar 28, 2024
      • BD registered reps · 25 to 21
        Oct 4, 2023 to Mar 28, 2024
      • Employees · 297 to 305
        Oct 4, 2023 to Mar 28, 2024
      • Discretionary RAUM · $215M to $488M
        Oct 4, 2023 to Mar 28, 2024
      • RAUM · $215M to $488M
        Oct 4, 2023 to Mar 28, 2024
      • Advisory employees · 126 to 153
        Aug 30, 2022 to Mar 30, 2023
      • BD registered reps · 19 to 25
        Aug 30, 2022 to Mar 30, 2023
      • Employees · 228 to 297
        Aug 30, 2022 to Mar 30, 2023
      • Discretionary RAUM · $386,480 to $215M
        Aug 30, 2022 to Mar 30, 2023
      • RAUM · $386,480 to $215M
        Aug 30, 2022 to Mar 30, 2023
      • Accounts · unset to 1.0
        Feb 8, 2022 to Mar 31, 2022
      • Advisory employees · 112 to 126
        Feb 8, 2022 to Mar 31, 2022
      • BD registered reps · 14 to 19
        Feb 8, 2022 to Mar 31, 2022
      • Employees · 187 to 228
        Feb 8, 2022 to Mar 31, 2022
      • Other offices · 0 to 1
        Feb 8, 2022 to Mar 31, 2022
      • Discretionary RAUM · unset to 386480.0
        Feb 8, 2022 to Mar 31, 2022
      • Non-discretionary RAUM · unset to 0.0
        Feb 8, 2022 to Mar 31, 2022
      • RAUM · unset to 386480.0
        Feb 8, 2022 to Mar 31, 2022
      Signals
      9 dated events
      • Csl Iii Advisor, Llc no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $487.5M)
        May 2, 2025 · Left the SEC roster · derived
      • Christopher Finn (Chief Operating Officer - The Carlyle Group) no longer on Schedule A of Csl Iii Advisor, Llc (listed 2024-03-28, absent 2024-07-03)
        Jul 3, 2024 · Control person left · inference
      • P. Lindsay Lobue (Chief Operating Officer - The Carlyle Group) appeared on Schedule A of Csl Iii Advisor, Llc
        Jul 3, 2024 · Control person joined · fact
      • Csl Iii Advisor, Llc reported RAUM $487.5M, up 127% from $214.8M (2023-10-04 to 2024-03-28)
        Mar 28, 2024 · RAUM change · derived
      • Lyle Curtis Buser (Managing Director/Cfo - The Carlyle Group) no longer on Schedule A of Csl Iii Advisor, Llc (listed 2023-06-06, absent 2023-10-04)
        Oct 4, 2023 · Control person left · inference
      • Christopher John Redett (Managing Director/Chief Financial Officer - The Carlyle Group) appeared on Schedule A of Csl Iii Advisor, Llc
        Oct 4, 2023 · Control person joined · fact
      • Mitchell Harvey Schwartz (Managing Director/Chief Executive Officer - The Carlyle Group) appeared on Schedule A of Csl Iii Advisor, Llc
        Mar 30, 2023 · Control person joined · fact
      • Kewsong Lee (Chief Executive Officer -The Carlyle Group) no longer on Schedule A of Csl Iii Advisor, Llc (listed 2022-03-31, absent 2022-08-30)
        Aug 30, 2022 · Control person left · inference
      • Csl Iii Advisor, Llc filed its initial SEC registration (Form ADV)
        Sep 13, 2021 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026