Niva WealthLet’s talk

Daniel Marcus

Chief Compliance Officer at D. E. Shaw & Co.

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
2
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Daniel Marcus is Chief Compliance Officer of D. E. Shaw & Co., L.P., a New York investment adviser managing $213B. Daniel Marcus has a current broker registration and no current investment-adviser registration and has passed the Series 14 and Series 3.

Role at D. E. Shaw & Co.

Title on Schedule A
Chief Compliance Officer
Control
Daniel Marcus is not a control person of D. E. Shaw & Co..
Ownership
An individual ownership band is not available in the source record.
Tenure
Daniel Marcus has held the filed role since August 2024.

The firm

D. E. Shaw & Co., L.P.
New York, NY

Form ADV filed 14 August 2026

$213B AUM23 clients526 advisers5 offices

Career on record

Firms and exams, newest first
  1. Passed Series 14 and Series 3 · 2024

Registrations and exams

Broker registration; no current adviser registration. Daniel Marcus has passed 2 qualifying exams.

Examinations

Series 1415 April 2024
Name
Compliance Officer Examination
Series 34 November 2024
Name
National Commodity Futures Examination

Individual record

Full name
Daniel Robbins Marcus
CRD
7889060
Firm
D. E. Shaw & Co., L.P.
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Daniel Marcus work?

Daniel Marcus has been Chief Compliance Officer of D. E. Shaw & Co., L.P. since August 2024.

Source: Form ADV, Schedule A, filed 14 August 2026

Does Daniel Marcus have a current investment-adviser registration?

Daniel Marcus has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Daniel Marcus passed?

Daniel Marcus has passed 2 licensing exams: the Series 14 and Series 3. The earliest, the Series 14, was passed in April 2024.

Source: IAPD individual record, checked 18 October 2026

Leadership at D. E. Shaw & Co.

Sources

  1. IAPD individual record, CRD 7889060. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of D. E. Shaw & Co., L.P., filed 14 August 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Daniel Marcus or D. E. Shaw & Co., L.P. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.