DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
D. E. Shaw & Co., L.P.
Latest filing Aug 14, 2026
First filing on the tape Dec 12, 2011 · 57 filings
SEC status approved since Jan 15, 1999
RAUM
$213B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
998
526 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
13
reported on Schedule D
History
57 filings and snapshots on the tape
RAUM$213B as of Aug 14, 2026
Mar 30, 2012$49B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 14, 2026
Mar 30, 20120 then
Employees (5.A)998 as of Aug 14, 2026
Apr 1, 2013488 then
Private funds13 as of Aug 14, 2026
Mar 30, 20127 then
RAUM +38% over the last fiscal year+25% a year over threeIARs 0 to 0offices 6 to 4
Practice profile
derived from the filing of Aug 14, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $9.3BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +38%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$213B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 23reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=36.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
21 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- Angus Adam Deaton · Executive Committee Membercontrolsince 04/2024 · owns less than 5%
- Carolyn Anne Dinning · Chair Of The Executive Committeecontrolsince 07/1997 · owns less than 5%
- Laurence Edward Fishman · Chief Operating Officer, Executive Committee Membercontrolsince 10/2010 · owns less than 5%
- Anne Alexis Halaby · Executive Committee Membercontrolsince 06/2021 · owns less than 5%
- Andrew Edwin Jager · Executive Committee Membercontrolsince 01/2024 · owns less than 5%
- Nmn Anoop Prasad · Executive Committee Membercontrolsince 04/2024 · owns less than 5%
- Elliot David Shaw · Limited Partnercontrolsince 12/1992 · owns 50% to 75%
- Dana Maximilian Stone · Executive Committee Membercontrolsince 01/2005 · owns less than 5%
- Emerson Eric Schmidt · Co-Trustee, The Schmidt Family Living Trustcontrolsince 01/1987 · owns F of The Schmidt Family Living Trust
- Nmn Wendy Schmidt · Co-Trustee, The Schmidt Family Living Trustcontrolsince 01/1987 · owns F of The Schmidt Family Living Trust
- Elliot David Shaw · Sole Stockholder, Chairman, And President, D. E. Shaw & Co., Inc.controlsince 11/1992 · owns 75% or more of D. E. Shaw & Co., Inc.
- Nmn Martin Lebwohl · Co-General Counselsince 01/2017 · owns less than 5%
- Robbins Daniel Marcus · Chief Compliance Officersince 08/2024 · owns less than 5%
- Mcintyre David Sweet · Co-General Counselsince 01/2017 · owns less than 5%
- Martin Christopher Zaback · Chief Financial Officersince 08/2008 · owns less than 5%
Entity owners
- D. E. Shaw & Co., Inc. · General Partnerdirect · owns less than 5%
- Big Hen Group I, LLC · Sole Member, Plaintext Holdings, LLCindirect · owns 75% or more of Plaintext Holdings, LLC
- The Schmidt Family Living Trust · Member, Big Hen Group I, LLCindirect · owns 75% or more of Big Hen Group I, LLC
- Plaintext Holdings, LLC · Limited Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- D. E. Shaw & Co. (Bermuda), Ltd.real estatey
- D. E. Shaw & Co., L.L.C.bankpooled vehicle sponsorn
- D. E. Shaw Alkali General Partner II, L.L.C.pooled vehicle sponsorn
- D. E. Shaw Alkali General Partner III, L.L.C.pooled vehicle sponsorn
- D. E. Shaw Alkali General Partner IV, L.L.C.bankpooled vehicle sponsorn
- D. E. Shaw Alkali General Partner V, L.L.C.bankpooled vehicle sponsorn
- D. E. Shaw Alkali General Partner Vi, L.L.C.bankpooled vehicle sponsorn
- D. E. Shaw Alkali Holdings Vi, L.L.C.pooled vehicle sponsorn
- D. E. Shaw Alkali Manager Vi, L.L.C.bankpooled vehicle sponsorn
- D. E. Shaw All Country Global Alpha Extension Custom Fund Gp, L.L.C.pooled vehicle sponsory
- D. E. Shaw All Country Global Alpha Plus Special Fund Gp, L.L.C.pooled vehicle sponsory
- D. E. Shaw Asymptote International Fund Gp, L.L.C.pooled vehicle sponsorn
- D. E. Shaw Ceof Gp, L.L.C.pooled vehicle sponsorn
- D. E. Shaw Composite International Fund Gp, L.L.C.bankpooled vehicle sponsorn
- D. E. Shaw Composite Manager, L.L.C.bankpooled vehicle sponsorn
- D. E. Shaw Diopter General Partner II, L.L.C.bankpooled vehicle sponsorn
- D. E. Shaw Diopter General Partner, L.L.C.bankpooled vehicle sponsorn
- D. E. Shaw Diopter Manager II, L.L.C.bankpooled vehicle sponsorn
- D. E. Shaw Diopter Manager, L.L.C.bankpooled vehicle sponsorn
- D. E. Shaw Esc Manager, L.L.C.bankpooled vehicle sponsorn
- D. E. Shaw Heliant Manager, L.L.C.bankpooled vehicle sponsorn
- D. E. Shaw Investment Management (Shanghai) Co., Ltd.investment advisery
- D. E. Shaw Investment Management Offshore Gp, L.L.C.bankpooled vehicle sponsory
- D. E. Shaw Investment Management, L.L.C.investment adviserbankpooled vehicle sponsoryRAUM $33B
- D. E. Shaw Manager II, L.L.C.bankpooled vehicle sponsorn
- D. E. Shaw Manager III, L.L.C.bankpooled vehicle sponsorn
- D. E. Shaw Manager, L.L.C.bankpooled vehicle sponsorn
- D. E. Shaw Multi-Asset Manager Gp, L.L.C.bankpooled vehicle sponsorn
- D. E. Shaw Multi-Asset Manager, L.L.C.bankpooled vehicle sponsorn
- D. E. Shaw Re (Bermuda), Ltd.real estatey
Advisers that list D. E. Shaw & Co., L.P. as a related person
Offices
Schedule D 1.F, the 25 largest
- Wellesley, MA4 employees
- Menlo Park, CA3 employees
- Princeton, NJ2 employees
- Las Vegas, NV1 employees
- Overland Park, KS1 employees
- Westchester, NY
What changed
consecutive filings, newest first
- Accounts · 34 to 23Dec 18, 2025 to Mar 31, 2026
- Advisory employees · 476 to 526Dec 18, 2025 to Mar 31, 2026
- Pooled vehicle clients · 34 to 23Dec 18, 2025 to Mar 31, 2026
- Employees · 928 to 998Dec 18, 2025 to Mar 31, 2026
- Other offices · 6 to 4Dec 18, 2025 to Mar 31, 2026
- Private funds · 15 to 13Dec 18, 2025 to Mar 31, 2026
- Discretionary RAUM · $155B to $213BDec 18, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $155B to $213BDec 18, 2025 to Mar 31, 2026
- RAUM · $155B to $213BDec 18, 2025 to Mar 31, 2026
- Private funds · 14 to 15Jun 5, 2025 to Dec 18, 2025
- Financial planning clients · 0 to 0Mar 31, 2025 to Jun 5, 2025
- Accounts · 31 to 34Feb 5, 2025 to Mar 31, 2025
- Advisory employees · 442 to 476Feb 5, 2025 to Mar 31, 2025
- BD registered reps · 39 to 36Feb 5, 2025 to Mar 31, 2025
- Pooled vehicle clients · 31 to 34Feb 5, 2025 to Mar 31, 2025
- Employees · 879 to 928Feb 5, 2025 to Mar 31, 2025
- Discretionary RAUM · $120B to $155BFeb 5, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $120B to $155BFeb 5, 2025 to Mar 31, 2025
- RAUM · $120B to $155BFeb 5, 2025 to Mar 31, 2025
- Private funds · 13 to 14Apr 1, 2024 to Jun 5, 2024
- Accounts · 22 to 31Jan 23, 2024 to Mar 29, 2024
- Advisory employees · 393 to 442Jan 23, 2024 to Mar 29, 2024
- BD registered reps · 34 to 39Jan 23, 2024 to Mar 29, 2024
- Pooled vehicle clients · 22 to 31Jan 23, 2024 to Mar 29, 2024
- Employees · 759 to 879Jan 23, 2024 to Mar 29, 2024
- Private funds · 14 to 13Jan 23, 2024 to Mar 29, 2024
- Discretionary RAUM · $109B to $120BJan 23, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · $109B to $120BJan 23, 2024 to Mar 29, 2024
- RAUM · $109B to $120BJan 23, 2024 to Mar 29, 2024
- Private funds · 13 to 14Mar 31, 2023 to May 17, 2023
- Accounts · 34 to 22Sep 19, 2022 to Mar 31, 2023
- Advisory employees · 379 to 393Sep 19, 2022 to Mar 31, 2023
- BD registered reps · 36 to 34Sep 19, 2022 to Mar 31, 2023
- Pooled vehicle clients · 34 to 22Sep 19, 2022 to Mar 31, 2023
- Employees · 705 to 759Sep 19, 2022 to Mar 31, 2023
- Other offices · 4 to 6Sep 19, 2022 to Mar 31, 2023
- Discretionary RAUM · $128B to $109BSep 19, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $128B to $109BSep 19, 2022 to Mar 31, 2023
- RAUM · $128B to $109BSep 19, 2022 to Mar 31, 2023
- Private funds · 12 to 13Mar 31, 2022 to Sep 19, 2022
Signals
10 dated events
- D. E. Shaw & Co., L.P. reported RAUM $213.4B, up 38% from $154.6B (2025-12-18 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- D. E. Shaw & Co., L.P. reported RAUM $154.6B, up 28% from $120.5B (2025-02-05 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Nmn Anoop Prasad (Executive Committee Member) appeared on Schedule A of D. E. Shaw & Co., L.P.Apr 1, 2024 · Control person joined · fact
- Angus Adam Deaton (Executive Committee Member) appeared on Schedule A of D. E. Shaw & Co., L.P.Apr 1, 2024 · Control person joined · fact
- Karl Eric Wepsic (Executive Committee Member) no longer on Schedule A of D. E. Shaw & Co., L.P. (listed 2024-03-29, absent 2024-04-01)Apr 1, 2024 · Control person left · inference
- Andrew Edwin Jager (Executive Committee Member) appeared on Schedule A of D. E. Shaw & Co., L.P.Jan 23, 2024 · Control person joined · fact
- Ralph Julius Gaudio (Executive Committee Member) no longer on Schedule A of D. E. Shaw & Co., L.P. (listed 2023-10-05, absent 2024-01-23)Jan 23, 2024 · Control person left · inference
- Anne Alexis Halaby (Executive Committee Member) appeared on Schedule A of D. E. Shaw & Co., L.P.Jul 14, 2021 · Control person joined · fact
- D. E. Shaw & Co., L.P. reported RAUM $111.9B, up 36% from $82.1B (2020-10-23 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Carolyn Anne Dinning (Executive Committee Member) appeared on Schedule A of D. E. Shaw & Co., L.P.Mar 28, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- D. E. Shaw & Co., L.P. · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/d.-e.-shaw-&-co.reportedpublic record, Form ADV, Sep 17, 2026
- Website
- deshaw.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-478-0000reportedpublic record, Form ADV, Aug 14, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026