{"url":"https://nivawealth.com/firms/d-e-shaw-investment-management-135284","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/135284","regulatoryAum":33368169339,"crd":"135284","secFileNumber":"801-64222","legalName":"D. E. Shaw Investment Management, L.L.C.","displayName":"D. E. Shaw Investment Management","website":"http://www.deshaw.com/","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"Two Manhattan West, 375 Ninth Avenue, 52nd Floor","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10001"},"tradeNames":[],"registration":{"secApproved":"26 May 2005","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":47,"advisory":45,"brokerDealerReps":7,"insuranceAgents":0,"promoters":1},"aum":{"discretionary":33368169339,"discretionaryAccounts":26,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":12,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":3,"regulatoryAum":11345763112},{"label":"Pooled investment vehicles","clients":20,"regulatoryAum":19480647267},{"label":"Pension and profit-sharing plans","clients":null,"regulatoryAum":501733514},{"label":"State or municipal government entities","clients":null,"regulatoryAum":2040025446}],"fees":[],"feeNotes":[],"custodians":[{"name":"Fidelity Global Brokerage Group, Inc","shortName":"Fidelity","location":"Boston, MA","smaAssets":501733514},{"name":"State Street Bank and Trust Company","shortName":"State Street Bank and Trust","location":"Boston, MA","smaAssets":2040025446}],"custodyNote":"D. E. Shaw Investment Management has custody of $6.32B for 11 clients.","otherCustodians":[],"leadership":[{"name":"Yevgenia Zemlyakova","title":"Executive Committee Member, Chief Operating Officer","crd":"4884452"},{"name":"Daniel Marcus","title":"Chief Compliance Officer","crd":"7889060"},{"name":"Edward Fishman","title":"Executive Committee Member","crd":"2656095"},{"name":"Alexis Halaby","title":"Executive Committee Member","crd":"4719650"},{"name":"Michael Lewkonia","title":"General Counsel","crd":"5413432"},{"name":"Maximilian Stone","title":"Executive Committee Member","crd":"2246217"}],"ownership":[{"label":"D. E. Shaw & Co., L.P.","detail":"Managing member in the 75% or more ownership band and a control person, since February 2005."},{"label":"David Shaw","detail":"Indirect owner: a sole stockholder, chairman, and president of D. E. Shaw & Co., Inc. in the 75% or more band and a control person, since November 1992. Also a limited partner of D. E. Shaw & Co., L.P. in the 50% to 75% band and a control person, since January 1993.","parent":"D. E. Shaw & Co., Inc."},{"label":"D. E. Shaw & Co., Inc.","detail":"Indirect owner: general partner of D. E. Shaw & Co., L.P. and a control person, since November 1992.","parent":"D. E. Shaw & Co., L.P."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"150 California Street","city":"San Francisco"}]},{"state":"New York","offices":1,"addresses":[{"street":"Two Manhattan West, 375 Ninth Avenue, 52nd Floor","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-478-0000","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees","Other"],"activities":["Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":99},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":17},"sources":{"adv1FilingDate":"6 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/135284/PDF/135284.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does D. E. Shaw Investment Management have?","answer":"D. E. Shaw Investment Management has 23 clients and manages $33.4 billion for them, as of July 2026. They include 20 pooled investment vehicles and 3 investment companies.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 6 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does D. E. Shaw Investment Management offer?","answer":"D. E. Shaw Investment Management provides portfolio management for investment companies, portfolio management for pooled vehicles and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does D. E. Shaw Investment Management use?","answer":"D. E. Shaw Investment Management’s separately managed account assets are held at State Street Bank and Trust Company (Boston, MA), with $2,040,025,446 and Fidelity Global Brokerage Group, Inc (Boston, MA), with $501,733,514. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 6 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does D. E. Shaw Investment Management have?","answer":"D. E. Shaw Investment Management has 0 investment adviser representatives registered with state securities authorities, out of 47 employees, and 45 perform investment advisory functions. 7 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does D. E. Shaw Investment Management invest in?","answer":"At the end of its last fiscal year, D. E. Shaw Investment Management’s separately managed accounts held 99% exchange-traded equities and 1% cash and equivalents. It advises 17 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns D. E. Shaw Investment Management?","answer":"D. E. Shaw Investment Management is owned through a chain of holding companies by David Shaw. Its direct owner is D. E. Shaw & Co., L.P. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 6 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does D. E. Shaw Investment Management get paid?","answer":"D. E. Shaw Investment Management 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","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}