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.

Former SEC-registered adviser

D. E. Shaw Direct Capital, L.L.C.

Former SEC-registered adviserNew York, New YorkCRD 147212SEC 801-69171IAPD
Latest filing Mar 30, 2018
First filing on the tape Jan 26, 2012 · 15 filings
RAUM
$89.1M
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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$89.1M gross assets
History
15 filings and snapshots on the tape
RAUM$89.1M as of Mar 30, 2018
Mar 30, 2012$784M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 30, 20120 then
Employees (5.A)3 as of Mar 30, 2018
Apr 1, 201311 then
Private funds1 as of Mar 30, 2018
Mar 30, 20121 then
RAUM +2.6% over the last fiscal year-25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2018; 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
$29.7MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.6%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
Custody
$82.8M, 3 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$89.1M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$82.8M for 3 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Ralph Julius Gaudio · Managing Directorcontrol
        since 09/2014 · owns less than 5%
      • Elliot David Shaw · Sole Stockholder, Chairman, And Presidentcontrol
        since 11/1992 · owns 75% or more of D. E. Shaw & Co., Inc.
      • Elliot David Shaw · Limited Partnercontrol
        since 01/1993 · owns 50% to 75% of D. E. Shaw & Co., L.P.
      • Clark Nathan Thomas · Chief Compliance Officer, Managing Director
        since 06/2011 · owns less than 5%
      Entity owners
      • D. E. Shaw & Co., L.P. · Managing Member
        direct · owns 75% or more
      • D. E. Shaw & Co., Inc. · General Partner
        indirect · owns F of D. E. Shaw & Co., L.P.
      Related persons
      Schedule D 7.A
      • D. E. Shaw & Co. (Asia Pacific) Limited
        broker-dealerinvestment advisern
      • D. E. Shaw & Co. (Bermuda), Ltd.
        real estaten
      • D. E. Shaw & Co. (London), Llp
        broker-dealerinvestment 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, L.L.C.
        investment adviserbankn
      • D. E. Shaw Alkali General Partner II, L.L.C.
        bankpooled vehicle sponsory
      • D. E. Shaw Alkali General Partner III, L.L.C.
        bankpooled vehicle sponsorn
      • D. E. Shaw Alkali General Partner, L.L.C.
        bankpooled vehicle sponsorn
      • D. E. Shaw All Country Global Alpha Extension Custom Fund Gp, L.L.C.
        bankpooled vehicle sponsory
      • D. E. Shaw Asymptote International Fund Gp, L.L.C.
        bankpooled vehicle sponsorn
      • D. E. Shaw Bmcae Special Fund Gp, L.L.C.
        pooled vehicle sponsorn
      • 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 Direct Capital International Fund Gp, L.L.C.
        pooled vehicle sponsory
      • D. E. Shaw Heliant Adviser, L.L.C.
        investment adviserbankn
      • D. E. Shaw Heliant Manager, L.L.C.
        bankpooled vehicle sponsorn
      • D. E. Shaw India Securities Private Limited
        broker-dealern
      • D. E. Shaw Investment Management Offshore Gp, L.L.C.
        bankpooled vehicle sponsorn
      • D. E. Shaw Investment Management, L.L.C.
        investment adviserbankpooled vehicle sponsornRAUM $33B
      • D. E. Shaw Manager, L.L.C.
        bankpooled vehicle sponsorn
      • D. E. Shaw Multi-Asset Adviser, L.L.C.
        investment adviserbankn
      • 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 estaten
      • D. E. Shaw Renewable Investments, L.L.C.
        investment adviserpooled vehicle sponsorn
      • D. E. Shaw Terrella Fund Gp, L.L.C.
        bankpooled vehicle sponsorn
      • D. E. Shaw Valence International Fund Gp, L.L.C.
        bankpooled vehicle sponsorn
      Advisers that list D. E. Shaw Direct Capital, L.L.C. as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · unset to 3.0
        Mar 31, 2017 to Mar 30, 2018
      • Assets in custody · $86.1M to $82.8M
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $86.9M to $89.1M
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 89133652.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $86.9M to $89.1M
        Mar 31, 2017 to Mar 30, 2018
      • Advisory employees · 2 to 1
        Mar 30, 2016 to Mar 31, 2017
      • BD registered reps · 3 to 2
        Mar 30, 2016 to Mar 31, 2017
      • Assets in custody · $96.5M to $86.1M
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 9 to 3
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $111M to $86.9M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $111M to $86.9M
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 4 to 2
        Mar 31, 2015 to Mar 30, 2016
      • BD registered reps · 4 to 3
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $184M to $96.5M
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 18 to 9
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $210M to $111M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $210M to $111M
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 3 to 4
        Jan 23, 2015 to Mar 31, 2015
      • BD registered reps · 3 to 4
        Jan 23, 2015 to Mar 31, 2015
      • Assets in custody · $267M to $184M
        Jan 23, 2015 to Mar 31, 2015
      • Employees · 17 to 18
        Jan 23, 2015 to Mar 31, 2015
      • Discretionary RAUM · $275M to $210M
        Jan 23, 2015 to Mar 31, 2015
      • RAUM · $275M to $210M
        Jan 23, 2015 to Mar 31, 2015
      • Advisory employees · 1 to 3
        Sep 23, 2013 to Mar 31, 2014
      • BD registered reps · 2 to 3
        Sep 23, 2013 to Mar 31, 2014
      • Assets in custody · $366M to $267M
        Sep 23, 2013 to Mar 31, 2014
      • Employees · 11 to 17
        Sep 23, 2013 to Mar 31, 2014
      • Discretionary RAUM · $414M to $275M
        Sep 23, 2013 to Mar 31, 2014
      • RAUM · $414M to $275M
        Sep 23, 2013 to Mar 31, 2014
      • Advisory employees · unset to 1.0
        Jul 26, 2012 to Apr 1, 2013
      • BD registered reps · unset to 2.0
        Jul 26, 2012 to Apr 1, 2013
      • Assets in custody · $646M to $366M
        Jul 26, 2012 to Apr 1, 2013
      • Employees · unset to 11.0
        Jul 26, 2012 to Apr 1, 2013
      • Discretionary RAUM · $784M to $414M
        Jul 26, 2012 to Apr 1, 2013
      • RAUM · $784M to $414M
        Jul 26, 2012 to Apr 1, 2013
      • Assets in custody · $853M to $646M
        Mar 1, 2012 to Mar 30, 2012
      • Financial planning clients · 0 to unset
        Mar 1, 2012 to Mar 30, 2012
      • Discretionary RAUM · $853M to $784M
        Mar 1, 2012 to Mar 30, 2012
      • RAUM · $853M to $784M
        Mar 1, 2012 to Mar 30, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda 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