Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by Ngp
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
NGP MANAGEMENT COMPANY, L.L.C.Direct owner · Schedule AInterest in NGP
75%+
ECM CAPITAL, L.P.Direct owner · Schedule AInterest in NGP
5% to < 10%
ECMA HOLDINGS, LLCDirect owner · Schedule AInterest in NGP
5% to < 10%
CHRISTOPHER GEORGE CARTERDirect owner · Schedule AInterest in NGP
< 5%
TC GROUP, L.L.C.Indirect owner · Schedule BInterest in CARLYLE KNOX HOLDINGS, L.L.C.
75%+
TC GROUP, L.L.C.Indirect owner · Schedule BInterest in CIM (DELAWARE), INC.
75%+
CARLYLE HOLDINGS I GP, INC.Indirect owner · Schedule BInterest in CARLYLE HOLDINGS I GP SUB L.L.C.
75%+
THE CARLYLE GROUP INC.Indirect owner · Schedule BInterest in CARLYLE HOLDINGS I GP, INC.
75%+
CG SUBSIDIARY HOLDINGS L.L.C.Indirect owner · Schedule BInterest in TC GROUP, L.L.C.
75%+
CARLYLE HOLDINGS II GP L.L.C.Indirect owner · Schedule BInterest in CARLYLE HOLDINGS II L.L.C.
75%+
CARLYLE KNOX HOLDINGS, L.L.C.Indirect owner · Schedule BInterest in NGP MANAGEMENT COMPANY, L.L.C.
50% to < 75%
CARLYLE HOLDINGS I L.P.Indirect owner · Schedule BInterest in CG SUBSIDIARY HOLDINGS L.L.C.
50% to < 75%
THE CARLYLE GROUP INC.Indirect owner · Schedule BInterest in CARLYLE HOLDINGS II GP L.L.C.
50% to < 75%
THE CARLYLE GROUP INC.Indirect owner · Schedule BInterest in CARLYLE HOLDINGS II L.L.C.
50% to < 75%
ECM CAPITAL, L.P.Indirect owner · Schedule BInterest in NGP MANAGEMENT COMPANY, L.L.C.
25% to < 50%
KENNETH ASHER HERSHIndirect owner · Schedule BInterest in ECMA HOLDINGS, LLC
25% to < 50%
CHRISTOPHER GEORGE CARTERIndirect owner · Schedule BInterest in ECMC GP, L.L.C.
25% to < 50%
CARLYLE HOLDINGS II L.L.C.Indirect owner · Schedule BInterest in CG SUBSIDIARY HOLDINGS L.L.C.
25% to < 50%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Ngp.
Reported ownership and control details
Form ADV · Filing date 2026-03-31 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | ECM CAPITAL, L.P.MEMBERDomestic entity | NGP | 5% to less than 10%Code A | Yes | MEMBER06/2007 | Schedule APDF page 113 |
| 2 | JILL WERTHEIMER LAMPERTCHIEF FINANCIAL & ADMINISTRATIVE OFFICERIndividual | NGP | Less than 5%Code NA | No | CHIEF FINANCIAL & ADMINISTRATIVE OFFICER01/2011 | Schedule APDF page 113 |
| 3 | NGP MANAGEMENT COMPANY, L.L.C.MEMBERDomestic entity | NGP | 75% or moreCode E | No | MEMBER12/2012 | Schedule APDF page 113 |
| 4 | ECMA HOLDINGS, LLCMEMBERDomestic entity | NGP | 5% to less than 10%Code A | No | MEMBER09/2014 | Schedule APDF page 113 |
| 5 | CHRISTOPHER GEORGE CARTERMANAGING PARTNERIndividual | NGP | Less than 5%Code NA | No | MANAGING PARTNER03/2015 | Schedule APDF page 113 |
| 6 | DAVID ROBINSON TUBBCHIEF COMPLIANCE OFFICERIndividual | NGP | Less than 5%Code NA | No | CHIEF COMPLIANCE OFFICER06/2023 | Schedule APDF page 113 |
| 7 | CHRISTINA COLLINS SANDERSGENERAL COUNSELIndividual | NGP | Less than 5%Code NA | No | GENERAL COUNSEL01/2026 | Schedule APDF page 113 |
| 8 | ECMC GP, L.L.C.GENERAL PARTNERDomestic entity | ECM CAPITAL, L.P. | Percentage not specifiedCode F | Yes | GENERAL PARTNER06/2007 | Schedule BPDF page 114 |
| 9 | ECM CAPITAL, L.P.MEMBERDomestic entity | NGP MANAGEMENT COMPANY, L.L.C. | 25% to less than 50%Code C | Yes | MEMBER12/2012 | Schedule BPDF page 114 |
| 10 | CARLYLE KNOX HOLDINGS, L.L.C.MEMBERDomestic entity | NGP MANAGEMENT COMPANY, L.L.C. | 50% to less than 75%Code D | No | MEMBER12/2012 | Schedule BPDF page 114 |
| 11 | TC GROUP, L.L.C.MEMBERDomestic entity | CARLYLE KNOX HOLDINGS, L.L.C. | 75% or moreCode E | Yes | MEMBER12/2012 | Schedule BPDF page 114 |
| 12 | CIM (DELAWARE), INC.MANAGING MEMBERDomestic entity | CARLYLE KNOX HOLDINGS, L.L.C. | Percentage not specifiedCode F | Yes | MANAGING MEMBER12/2012 | Schedule BPDF page 114 |
| 13 | TC GROUP, L.L.C.SHAREHOLDERDomestic entity | CIM (DELAWARE), INC. | 75% or moreCode E | Yes | SHAREHOLDER12/2001 | Schedule BPDF page 114 |
| 14 | CARLYLE HOLDINGS I L.P.MEMBERDomestic entity | CG SUBSIDIARY HOLDINGS L.L.C. | 50% to less than 75%Code D | Yes | MEMBER01/2020 | Schedule BPDF page 114 |
| 15 | CARLYLE HOLDINGS I GP SUB L.L.C.GENERAL PARTNERDomestic entity | CARLYLE HOLDINGS I L.P. | Percentage not specifiedCode F | Yes | GENERAL PARTNER11/2011 | Schedule BPDF page 114 |
| 16 | CARLYLE HOLDINGS I GP, INC.MEMBERDomestic entity | CARLYLE HOLDINGS I GP SUB L.L.C. | 75% or moreCode E | Yes | MEMBER11/2011 | Schedule BPDF page 114 |
| 17 | THE CARLYLE GROUP INC.SHAREHOLDERDomestic entity | CARLYLE HOLDINGS I GP, INC. | 75% or moreCode E | Yes | SHAREHOLDER11/2011 | Schedule BPDF page 114 |
| 18 | KENNETH ASHER HERSHMEMBERIndividual | ECMA HOLDINGS, LLC | 25% to less than 50%Code C | Yes | MEMBER09/2014 | Schedule BPDF page 114 |
| 19 | JILL WERTHEIMER LAMPERTMANAGING MEMBERIndividual | ECMC GP, L.L.C. | Percentage not specifiedCode F | Yes | MANAGING MEMBER03/2017 | Schedule BPDF page 114 |
| 20 | CHRISTOPHER GEORGE CARTERMANAGING MEMBERIndividual | ECMC GP, L.L.C. | 25% to less than 50%Code C | Yes | MANAGING MEMBER03/2017 | Schedule BPDF page 114 |
| 21 | CRAIG SCHUYLER GLICKMANAGING MEMBERIndividual | ECMC GP, L.L.C. | Percentage not specifiedCode F | Yes | MANAGING MEMBER03/2017 | Schedule BPDF page 114 |
| 22 | CG SUBSIDIARY HOLDINGS L.L.C.MEMBERDomestic entity | TC GROUP, L.L.C. | 75% or moreCode E | Yes | MEMBER01/2020 | Schedule BPDF page 114 |
| 23 | CARLYLE HOLDINGS II L.L.C.MEMBERDomestic entity | CG SUBSIDIARY HOLDINGS L.L.C. | 25% to less than 50%Code C | Yes | MEMBER01/2020 | Schedule BPDF page 114 |
| 24 | CARLYLE HOLDINGS II GP L.L.C.MEMBERDomestic entity | CARLYLE HOLDINGS II L.L.C. | 75% or moreCode E | Yes | MEMBER11/2011 | Schedule BPDF page 114 |
| 25 | THE CARLYLE GROUP INC.MEMBERDomestic entity | CARLYLE HOLDINGS II GP L.L.C. | 50% to less than 75%Code D | Yes | MEMBER11/2011 | Schedule BPDF page 114 |
| 26 | THE CARLYLE GROUP INC.MEMBERDomestic entity | CARLYLE HOLDINGS II L.L.C. | 50% to less than 75%Code D | Yes | MEMBER01/2020 | Schedule BPDF page 114 |
| 27 | SAMUEL FREDRIC STOUTNERMANAGING MEMBERIndividual | ECMC GP, L.L.C. | Percentage not specifiedCode F | Yes | MANAGING MEMBER01/2026 | Schedule BPDF page 114 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 3/31/2026 2:45:00 PM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.