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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

D. E. SHAW DIRECT CAPITAL, L.L.C.

CRD 147212

NEW YORK, NY

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Search this name across graphsid dfx:ria:5f988517-eba3-fb2e-9273-162b6eae0952

Data as of Mar 30, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Jan 26, 2012 to Mar 30, 2018
15 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $89.1MItem 5.F on the latest filing (2018-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $89.1M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 3
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $89.1Mgross asset value as reported per fund; never fund size
Custody, client assets: $82.8M
SEC number: 801-69171
CRD: 147212
Filings on the tape: 15
First filed: Jan 26, 2012
Latest filed: Mar 30, 2018
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D. E. SHAW & CO., INC.	GENERAL PARTNER	F	yes	11/1992	Jan 26, 2012	Mar 30, 2018
D. E. SHAW & CO., L.P.	MANAGING MEMBER	E	yes	04/2008	Jan 26, 2012	Mar 30, 2018
GAUDIO, JULIUS, RALPH	MANAGING DIRECTOR	Na	yes	09/2014	Oct 10, 2014	Mar 30, 2018
SHAW, DAVID, ELLIOT	SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT	E	yes	11/1992	Jan 26, 2012	Mar 30, 2018
SHAW, DAVID, ELLIOT	LIMITED PARTNER	D	yes	01/1993	Jan 26, 2012	Mar 30, 2018
THOMAS, NATHAN, CLARK	CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR	Na	no	06/2011	Jan 26, 2012	Mar 30, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D. E. SHAW & CO., L.P.	n/a	Asset manager	$213B	Y	yes	n/a
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C.	n/a	Asset manager	$33B	N	yes	n/a
D. E. SHAW & CO. (ASIA PACIFIC) LIMITED	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW & CO. (BERMUDA), LTD.	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW & CO. (LONDON), LLP	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW & CO., L.L.C.	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW ADVISER II, L.L.C.	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW ADVISER, L.L.C.	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW ALKALI GENERAL PARTNER II, L.L.C.	n/a	n/a	n/a	Y	yes	n/a
D. E. SHAW ALKALI GENERAL PARTNER III, L.L.C.	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW ALKALI GENERAL PARTNER, L.L.C.	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW ALL COUNTRY GLOBAL ALPHA EXTENSION CUSTOM FUND GP, L.L.C.	n/a	n/a	n/a	Y	yes	n/a
D. E. SHAW ASYMPTOTE INTERNATIONAL FUND GP, L.L.C.	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW BMCAE SPECIAL FUND GP, L.L.C.	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW COMPOSITE ADVISER, L.L.C.	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW COMPOSITE INTERNATIONAL FUND GP, L.L.C.	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW COMPOSITE MANAGER, L.L.C.	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW DIRECT CAPITAL INTERNATIONAL FUND GP, L.L.C.	n/a	n/a	n/a	Y	yes	n/a
D. E. SHAW HELIANT ADVISER, L.L.C.	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW HELIANT MANAGER, L.L.C.	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW INDIA SECURITIES PRIVATE LIMITED	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW INVESTMENT MANAGEMENT OFFSHORE GP, L.L.C.	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW MANAGER, L.L.C.	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW MULTI-ASSET ADVISER, L.L.C.	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW MULTI-ASSET MANAGER GP, L.L.C.	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW MULTI-ASSET MANAGER, L.L.C.	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW RE (BERMUDA), LTD.	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW RENEWABLE INVESTMENTS, L.L.C.	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW TERRELLA FUND GP, L.L.C.	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW VALENCE INTERNATIONAL FUND GP, L.L.C.	n/a	n/a	n/a	N	yes	n/a
D. E. SHAW VALUE ALL COUNTRY ALPHA EXTENSION FUND GP, L.L.C.	n/a	n/a	n/a	N	yes	n/a
D.E. SHAW SECURITIES, L.L.C.	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 30, 2018	$89.1M	$89.1M	3	1	0	1	$89.1M
2016	Mar 31, 2017	$86.9M	$86.9M	3	1	n/a	1	$86.9M
2015	Mar 30, 2016	$111M	$111M	9	2	n/a	1	$111M
2014	Mar 31, 2015	$210M	$210M	18	4	n/a	1	$210M
2013	Mar 31, 2014	$275M	$275M	17	3	n/a	1	$275M
2012	Apr 1, 2013	$414M	$414M	11	1	n/a	1	$414M
2011	Mar 30, 2012	$784M	$784M	n/a	n/a	n/a	1	$784M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$89.1M	$86.9M	2.6%	$210M	-24.8%	3	3	0	n/a

Relationships

Affiliated with (4)

← D. E. SHAW INVESTMENT MANAGEMENT, L.L.C.Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← D. E. SHAW RENEWABLE INVESTMENTS, L.L.C.Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ D. E. SHAW & CO., L.P.Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ D. E. SHAW INVESTMENT MANAGEMENT, L.L.C.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Controls (3)

← D. E. SHAW & CO., L.P.OwnerMANAGING MEMBER, ownership code E, domestic entity
Jan 26, 2012 to presentfactForm ADV
← SHAW, DAVID, ELLIOTOwnerSOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT, ownership code E, individual
Jan 26, 2012 to presentfactForm ADV
← GAUDIO, JULIUS, RALPHOwnerMANAGING DIRECTOR, ownership code NA, individual
Oct 10, 2014 to presentfactForm ADV

Owns (1)

← THOMAS, NATHAN, CLARKOwnerCHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR, ownership code NA, individual
Jan 26, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5f988517-eba3-fb2e-9273-162b6eae0952
First observed: Jan 26, 2012
Last observed: Mar 30, 2018 103 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

D. E. SHAW DIRECT CAPITAL, L.L.C.

CRD 147212

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5f988517-eba3-fb2e-9273-162b6eae0952

Data as of Mar 30, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:55 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

D. E. SHAW & CO., INC.

GENERAL PARTNER

yes

11/1992

Jan 26, 2012

Mar 30, 2018

D. E. SHAW & CO., L.P.

MANAGING MEMBER

yes

04/2008

Jan 26, 2012

Mar 30, 2018

GAUDIO, JULIUS, RALPH

MANAGING DIRECTOR

yes

09/2014

Oct 10, 2014

Mar 30, 2018

SHAW, DAVID, ELLIOT

SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT

yes

11/1992

Jan 26, 2012

Mar 30, 2018

SHAW, DAVID, ELLIOT

LIMITED PARTNER

yes

01/1993

Jan 26, 2012

Mar 30, 2018

THOMAS, NATHAN, CLARK

CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR

06/2011

Jan 26, 2012

Mar 30, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

D. E. SHAW & CO., L.P.

n/a

Asset manager

$213B

yes

n/a

D. E. SHAW INVESTMENT MANAGEMENT, L.L.C.

n/a

Asset manager

$33B

yes

n/a

D. E. SHAW & CO. (ASIA PACIFIC) LIMITED

n/a

yes

n/a

D. E. SHAW & CO. (BERMUDA), LTD.

n/a

yes

n/a

D. E. SHAW & CO. (LONDON), LLP

n/a

yes

n/a

D. E. SHAW & CO., L.L.C.

n/a

yes

n/a

D. E. SHAW ADVISER II, L.L.C.

n/a

yes

n/a

D. E. SHAW ADVISER, L.L.C.

n/a

yes

n/a

D. E. SHAW ALKALI GENERAL PARTNER II, L.L.C.

n/a

yes

n/a

D. E. SHAW ALKALI GENERAL PARTNER III, L.L.C.

n/a

yes

n/a

D. E. SHAW ALKALI GENERAL PARTNER, L.L.C.

n/a

yes

n/a

D. E. SHAW ALL COUNTRY GLOBAL ALPHA EXTENSION CUSTOM FUND GP, L.L.C.

n/a

yes

n/a

D. E. SHAW ASYMPTOTE INTERNATIONAL FUND GP, L.L.C.

n/a

yes

n/a

D. E. SHAW BMCAE SPECIAL FUND GP, L.L.C.

n/a

yes

n/a

D. E. SHAW COMPOSITE ADVISER, L.L.C.

n/a

yes

n/a

D. E. SHAW COMPOSITE INTERNATIONAL FUND GP, L.L.C.

n/a

yes

n/a

D. E. SHAW COMPOSITE MANAGER, L.L.C.

n/a

yes

n/a

D. E. SHAW DIRECT CAPITAL INTERNATIONAL FUND GP, L.L.C.

n/a

yes

n/a

D. E. SHAW HELIANT ADVISER, L.L.C.

n/a

yes

n/a

D. E. SHAW HELIANT MANAGER, L.L.C.

n/a

yes

n/a

D. E. SHAW INDIA SECURITIES PRIVATE LIMITED

n/a

yes

n/a

D. E. SHAW INVESTMENT MANAGEMENT OFFSHORE GP, L.L.C.

n/a

yes

n/a

D. E. SHAW MANAGER, L.L.C.

n/a

yes

n/a

D. E. SHAW MULTI-ASSET ADVISER, L.L.C.

n/a

yes

n/a

D. E. SHAW MULTI-ASSET MANAGER GP, L.L.C.

n/a

yes

n/a

D. E. SHAW MULTI-ASSET MANAGER, L.L.C.

n/a

yes

n/a

D. E. SHAW RE (BERMUDA), LTD.

n/a

yes

n/a

D. E. SHAW RENEWABLE INVESTMENTS, L.L.C.

n/a

yes

n/a

D. E. SHAW TERRELLA FUND GP, L.L.C.

n/a

yes

n/a

D. E. SHAW VALENCE INTERNATIONAL FUND GP, L.L.C.

n/a

yes

n/a

D. E. SHAW VALUE ALL COUNTRY ALPHA EXTENSION FUND GP, L.L.C.

n/a

yes

n/a

D.E. SHAW SECURITIES, L.L.C.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 30, 2018

$89.1M

2016

Mar 31, 2017

$86.9M

n/a

$86.9M

2015

Mar 30, 2016

$111M

n/a

$111M

2014

Mar 31, 2015

$210M

n/a

$210M

2013

Mar 31, 2014

$275M

n/a

$275M

2012

Apr 1, 2013

$414M

n/a

$414M

2011

Mar 30, 2012

$784M

n/a

$784M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$89.1M

$86.9M

2.6%

$210M

-24.8%

n/a