SEC-Registered Investment Adviser
D. E. Shaw Investment Management, L.L.C.
Registration facts are from the firm's Form ADV Part 1A as published by the SEC, latest filing dated July 6, 2026. Figures are firm-level: they describe the advisory firm, not any single offering.
Registration
- Status
- Approved
- Registered since
- May 26, 2005
- Principal office
- Two Manhattan West, 375 Ninth Avenue, 52nd Floor, New York, NY 10001
- Organized as
- Limited Liability Company, DE
- Fiscal year end
- December
- Other offices
- 1
- Website
- HTTP://WWW.DESHAW.COM
Scale
- Regulatory AUM
- $33.4B
- Attributable to non-US clients
- $327.4M
- Accounts
- 26
- Clients
- 0
- Employees
- 47, 45 in advisory roles
- Private funds advised
- 17
- Private fund gross assets
- $19.2B
- Fund types
- 17 hedge funds
- Funds with Form D records
- 15 issuers in AltStreet's ledger, $23.0B reported sold across them
- Client assets in custody
- $6.3B (11 clients)
Business, clients and compensation, as filed
- Advisory activities
- portfolio management for investment companies, portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients
- Compensated by
- a percentage of assets under management, performance-based fees and other
- Client types
- investment companies (3); pooled investment vehicles (20); pension and profit sharing plans; state or municipal government entities
- Also engaged as
- commodity pool operator or commodity trading advisor
- Related persons include
- a broker-dealer, another investment adviser, a commodity pool operator or commodity trading advisor, an insurance company or agency and a sponsor, general partner or managing member of pooled investment vehicles
- Affiliates
- 1 broker-dealer, 14 investment advisers
Form ADV Item 11 disclosures
The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.
- SEC or CFTC finding of a violation of regulations or statutes (Item 11C(2))
- SEC or CFTC order against the firm or an affiliate (Item 11C(4))
- SEC or CFTC civil money penalty or cease-and-desist (Item 11C(5))
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Source: SEC Form ADV via IARD (roster of October 6, 2026), matched to the platform by AltStreet analysts. Item 11 answers are as reported on the firm's Form ADV and cover the firm and its advisory affiliates; consult the firm's IAPD record for the Disclosure Reporting Pages. Brochure statements are the firm's own. Nothing on this page is investment advice.