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 Investment Management, L.L.C.
Latest filing Jul 6, 2026
First filing on the tape Feb 29, 2012 · 45 filings
SEC status approved since May 26, 2005
RAUM
$33B
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
47
45 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
17
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$33B as of Jul 6, 2026
Mar 30, 2012$7.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 6, 2026
Mar 30, 20120 then
Employees (5.A)47 as of Jul 6, 2026
Apr 1, 201354 then
Private funds17 as of Jul 6, 2026
Mar 30, 20129 then
RAUM +59% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 6, 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
- $1.3BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +59%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $6.3B, 11 clientsreportedItem 9.A
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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 hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$19B58%
- Investment companies$11B34%
- State and municipal entities$2.0B6.1%
- Pension and profit-sharing plans$502M1.5%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 26reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.3B for 11 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.92 institutional_share=0.08 related_bd=true related_bank=true bd_reps=7.0derived
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
22 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- Yefim Ruvim Breydo · Executive Committee Member, Chief Investment Officercontrolsince 02/2019 · owns less than 5%
- Laurence Edward Fishman · Executive Committee Membercontrolsince 03/2018 · owns less than 5%
- Anne Alexis Halaby · Executive Committee Membercontrolsince 03/2018 · owns less than 5%
- Dana Maximilian Stone · Executive Committee Membercontrolsince 03/2017 · owns less than 5%
- Elliot David Shaw · Sole Stockholder, Chairman, And Presidentcontrolsince 11/1992 · owns 75% or more of D. E. Shaw & Co., Inc.
- Elliot David Shaw · Limited Partnercontrolsince 01/1993 · owns 50% to 75% of D. E. Shaw & Co., L.P.
- William Michael Lewkonia · General Counselsince 07/2023 · owns less than 5%
- Robbins Daniel Marcus · Chief Compliance Officersince 08/2024 · owns less than 5%
- Vladimirovna Yevgenia Zemlyakova · Chief Operating Officersince 01/2020 · owns less than 5%
Entity owners
- D. E. Shaw & Co., L.P. · Managing Memberdirect · owns 75% or more
- D. E. Shaw & Co., Inc. · General Partnerindirect · owns F of D. E. Shaw & Co., L.P.
Related persons
Schedule D 7.A
- D. E. Shaw & Co. (Asia Pacific) Limitedbroker-dealerinvestment advisern
- D. E. Shaw & Co. (Bermuda), Ltd.real estaten
- D. E. Shaw & Co. (London), Llpbroker-dealerinvestment advisern
- D. E. Shaw & Co. (Singapore) Pte. Ltd.investment advisern
- D. E. Shaw & Co., L.L.C.bankpooled vehicle sponsorn
- D. E. Shaw & Co., L.P.investment adviserbankpooled vehicle sponsoryRAUM $213B
- D. E. Shaw Adviser II, L.L.C.investment adviserbankn
- D. E. Shaw Adviser III, L.L.C.investment adviserbankn
- D. E. Shaw Adviser, L.L.C.investment adviserbankn
- D. E. Shaw Alkali Adviser Vi, L.L.C.investment adviserbankn
- 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 sponsory
- D. E. Shaw Composite Adviser, L.L.C.investment adviserbankn
- 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 Adviser II, L.L.C.investment adviserbankn
- D. E. Shaw Diopter Adviser, L.L.C.investment adviserbankn
- 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
Advisers that list D. E. Shaw Investment Management, L.L.C. as a related person
Offices
Schedule D 1.F, the 25 largest
- Wellesley, MA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $21,045,433,296 to $33,368,169,339 (+59.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +15.0% (471 comparable advisers, 91.0th percentile of changes)peers: asset managers, $20B and over (471) · 91% percentile
What changed
consecutive filings, newest first
- Accounts · 23 to 26Jun 6, 2025 to Mar 31, 2026
- Advisory employees · 46 to 45Jun 6, 2025 to Mar 31, 2026
- BD registered reps · 8 to 7Jun 6, 2025 to Mar 31, 2026
- Pooled vehicle clients · 17 to 20Jun 6, 2025 to Mar 31, 2026
- Assets in custody · $4.0B to $6.3BJun 6, 2025 to Mar 31, 2026
- Employees · 48 to 47Jun 6, 2025 to Mar 31, 2026
- Discretionary RAUM · $21B to $33BJun 6, 2025 to Mar 31, 2026
- Pension RAUM · $403M to $502MJun 6, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $9.9B to $19BJun 6, 2025 to Mar 31, 2026
- RAUM · $21B to $33BJun 6, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Jun 6, 2025
- Private funds · 15 to 17Mar 31, 2025 to Jun 6, 2025
- Advisory employees · 43 to 46Feb 14, 2025 to Mar 31, 2025
- Assets in custody · $7.2B to $4.0BFeb 14, 2025 to Mar 31, 2025
- Employees · 45 to 48Feb 14, 2025 to Mar 31, 2025
- Discretionary RAUM · $22B to $21BFeb 14, 2025 to Mar 31, 2025
- Pension RAUM · $343M to $403MFeb 14, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $13B to $9.9BFeb 14, 2025 to Mar 31, 2025
- RAUM · $22B to $21BFeb 14, 2025 to Mar 31, 2025
- Advisory employees · 42 to 43Nov 16, 2023 to Mar 29, 2024
- BD registered reps · 9 to 8Nov 16, 2023 to Mar 29, 2024
- Assets in custody · $9.9B to $7.2BNov 16, 2023 to Mar 29, 2024
- Employees · 43 to 45Nov 16, 2023 to Mar 29, 2024
- Financial planning clients · unset to 0Nov 16, 2023 to Mar 29, 2024
- Private funds · 16 to 15Nov 16, 2023 to Mar 29, 2024
- Discretionary RAUM · $24B to $22BNov 16, 2023 to Mar 29, 2024
- Pension RAUM · $286M to $343MNov 16, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $17B to $13BNov 16, 2023 to Mar 29, 2024
- RAUM · $24B to $22BNov 16, 2023 to Mar 29, 2024
- Private funds · 14 to 16Oct 5, 2023 to Nov 16, 2023
- Accounts · 25 to 23Jan 30, 2023 to Mar 31, 2023
- Advisory employees · 40 to 42Jan 30, 2023 to Mar 31, 2023
- BD registered reps · 8 to 9Jan 30, 2023 to Mar 31, 2023
- Pooled vehicle clients · 20 to 17Jan 30, 2023 to Mar 31, 2023
- Assets in custody · $13B to $9.9BJan 30, 2023 to Mar 31, 2023
- Employees · 41 to 43Jan 30, 2023 to Mar 31, 2023
- Private funds · 15 to 14Jan 30, 2023 to Mar 31, 2023
- Discretionary RAUM · $28B to $24BJan 30, 2023 to Mar 31, 2023
- Pension RAUM · $347M to $286MJan 30, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $21B to $17BJan 30, 2023 to Mar 31, 2023
Signals
5 dated events
- D. E. Shaw Investment Management, L.L.C. reported RAUM $33.4B, up 59% from $21.0B (2025-06-06 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Damian Philip Kearns (Executive Committee Member, Co-Chief Investment Officer) no longer on Schedule A of D. E. Shaw Investment Management, L.L.C. (listed 2022-11-28, absent 2023-01-30)Jan 30, 2023 · Control person left · inference
- D. E. Shaw Investment Management, L.L.C. reported RAUM $36.4B, up 42% from $25.6B (2020-01-17 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Yefim Ruvim Breydo (Co-Chief Investment Officer, Managing Director) appeared on Schedule A of D. E. Shaw Investment Management, L.L.C.Feb 15, 2019 · Control person joined · fact
- D. E. Shaw Investment Management, L.L.C. reported RAUM $28.2B, up 58% from $17.9B (2018-02-14 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- DESHAW.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-478-0000reportedpublic record, Form ADV, Jul 6, 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