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D. E. Shaw &

SEC-registered adviser since 1999New York, NYCRD 108679

$213.4B
AUM
23
Clients
See fees
Fee
526
Advisory staff

From Form ADV filed 14 August 2026 · data retrieved 15 October 2026SEC record

D. E. Shaw & is an investment adviser headquartered in New York, New York, and registered with the SEC since 1999. Its clients include pooled investment vehicles.

Its services include portfolio management for pooled vehicles. Fee arrangements include a percentage of assets under management, performance-based fees and other arrangements. David Shaw owns 50% to 75% of D. E. Shaw &.

Clients

D. E. Shaw & serves 23 clients. The average client has about $9.28 billion with the firm.

Regulatory assets by client type
  • Pooled investment vehicles23 clients100%
Show client breakdown
Pooled investment vehicles
Clients
23
Regulatory AUM
$213,364,737,381
Share
100.0%
Avg. per client
$9.28B

Total

Clients
23
Regulatory AUM
$213,364,737,381
Share
100%
Avg. per client
$9.28B

What it does

D. E. Shaw & provides portfolio management for pooled vehicles. It is paid through a percentage of assets, performance-based fees and other arrangements.

D. E. Shaw & provided financial planning to 0 clients last fiscal year and advises 13 private funds.

100.0% of assets ($213.36B across 23 accounts) are managed with discretion. 17% of clients are outside the U.S., and 0 clients received advice without assets under management last fiscal year.

Custodians

D. E. Shaw & has custody of client assets.

Managed account assets by custodian
  • All other custodians$213.36B100%

Ownership and leadership

David Shaw owns 50% to 75% of D. E. Shaw &.

Who owns the firm
D. E. Shaw & Co., L.P.· the adviser

  • David Shaw

    Control person · since December 1992

    Owns 50% to 75% of D. E. Shaw & Co., L.P.

  • Plaintext Holdings, LLC

    since April 2015

    Owns 10% to 25% of D. E. Shaw & Co., L.P.

Leadership

  • Christopher Zaback
    Chief Financial Officer
  • Edward Fishman
    Chief Operating Officer, Executive Committee Member
  • Daniel Marcus
    Chief Compliance Officer
  • Adam Deaton
    Executive Committee Member
  • Anne Dinning
    Chair of the Executive Committee
  • Alexis Halaby
    Executive Committee Member
  • Edwin Jager
    Executive Committee Member
  • Martin Lebwohl
    Co-General Counsel
  • Anoop Prasad
    Executive Committee Member
  • David Shaw
    Limited Partner
  • Maximilian Stone
    Executive Committee Member
  • David Sweet
    Co-General Counsel

Staff

  • 998 employees
  • 526 in advisory functions
  • 36 broker-dealer reps

Reported holdings

D. E. Shaw &’s reported 13F holdings total $210.20B across 4,833 positions, and the ten largest make up 15.1% of it.

$210.20B
Reported 13F value
4,833
Positions
15.1%
In the 10 largest
+26.4%
Value vs. prior quarter
Ten largest positions, share of reported value
  1. State Str SPDR S&P 500 ETF T · TR Unit5.0%
  2. Nvidia Corporation1.9%
  3. Alphabet Inc. · Cap Stk CL A1.3%
  4. Amazon Com Inc.1.2%
  5. Alphabet Inc. · Cap Stk CL C1.1%
  6. Invesco Qqq TR · Unit Ser 1Call1.1%
  7. Meta Platforms Inc. · CL A0.9%
  8. Tesla Inc.0.9%
  9. Advanced Micro Devices Inc.0.9%
  10. Crowdstrike Hldgs Inc. · CL A0.8%

Together, the ten largest are 15.1% of reported value.

The 50 largest positions and quarterly changesQuarter ended 30 June 2026 · filed 14 August 2026

A 13F covers only exchange-traded long positions the firm holds with discretion, so this $210.20B is not its $213.36B in regulatory assets and does not represent any individual client's portfolio.

Fees

D. E. Shaw & is paid through a percentage of assets under management, performance-based fees and other.

D. E. Shaw &’s fee rates are not included in this profile. Find its brochure on the SEC’s site.

Offices and registrations

Besides its headquarters, D. E. Shaw & has 4 offices, with 5 listed addresses across 4 states.

Listed office addresses by state

New York · 2 listed addresses

  • Two Manhattan West, 375 Ninth Avenue, 52nd Floor, New YorkHQ
  • 555 Theodore Fremd Avenue, Rye

Other business names

D. E. Shaw & has reported 15 other business names to the SEC.

  • D. E. Shaw & Co. (asia Pacific) Limited (relying Adviser)
  • D. E. Shaw & Co. (london), LLP (relying Adviser)
  • D. E. Shaw (singapore) Pte. LTD. (relying Adviser)
  • D. E. Shaw Adviser II, L.L.C. (relying Adviser)
  • D. E. Shaw Adviser III, L.L.C. (relying Adviser)
  • D. E. Shaw Adviser, L.L.C. (relying Adviser)
  • D. E. Shaw Alkali Adviser VI, L.L.C. (relying Adviser)
  • D. E. Shaw Composite Adviser, L.L.C. (relying Adviser)
  • D. E. Shaw Diopter Adviser II, L.L.C. (relying Adviser)
  • D. E. Shaw Diopter Adviser, L.L.C. (relying Adviser)
  • D. E. Shaw Direct Capital, L.L.C. (relying Adviser)
  • D. E. Shaw Esc Adviser, L.L.C. (relying Adviser)
  • D. E. Shaw Heliant Adviser, L.L.C. (relying Adviser)
  • D. E. Shaw Multi-Asset Adviser, L.L.C. (relying Adviser)
  • D. E. Shaw Voltaic Adviser II, L.L.C. (relying Adviser)

Registration details

Legal name
D. E. Shaw & Co., L.P.
Headquarters
Two Manhattan West, 375 Ninth Avenue, 52nd Floor, New York, NY 10001
Phone
212-478-0000
Website
www.deshaw.com
SEC file
801-56171
Structure
Delaware limited partnership
Fiscal year end
December

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. See this firm's record on adviserinfo.sec.gov

Common questions

How many clients does D. E. Shaw & have?

D. E. Shaw & has 23 clients and manages $213.4 billion for them, as of August 2026.

Source: Form ADV Part 1A, Items 5.D and 5.F, filed 14 August 2026

What services does D. E. Shaw & offer?

D. E. Shaw & provides portfolio management for pooled vehicles.

Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file

How many financial advisors does D. E. Shaw & have?

D. E. Shaw & has 0 investment adviser representatives registered with state securities authorities, out of 998 employees, and 526 perform investment advisory functions. 36 are registered representatives of a broker-dealer and 0 are licensed insurance agents.

Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file

Who owns D. E. Shaw &?

D. E. Shaw &’s direct owners are David Shaw (50% to 75%) and Plaintext Holdings, LLC (10% to 25%).

Source: Form ADV Part 1A, Schedules A and B, filed 14 August 2026

How does D. E. Shaw & get paid?

D. E. Shaw & is paid through a percentage of assets under management, performance-based fees and other arrangements. Its Form ADV lists no commissions among how it is paid.

Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file

Sources

  1. Form ADV Part 1A, amendment filed 14 August 2026. Items 1, 5, 9, 11 and Schedules A, B and D.
  2. IAPD firm record, CRD 108679.
  3. Form 13F-HR, filed 14 August 2026 for the quarter ended 30 June 2026.

Retrieved 15 October 2026. All are published by the SEC and may have been amended since.

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This profile is compiled from public regulatory filings and is provided for informational purposes only. Niva Wealth is not affiliated with D. E. Shaw & Co., L.P. and makes no representation about the quality of its services. Figures reflect the filing dates shown and may have changed. Ownership percentages are the bands reported to the SEC, not exact figures.