{
  "crd_number": 108679,
  "slug": "d-e-shaw-and-co-l-p-new-york-ny-108679",
  "primary_business_name": "D. E. SHAW & CO., L.P.",
  "legal_name": "D. E. SHAW & CO., L.P.",
  "dbas": [
    "D. E. SHAW & CO. (ASIA PACIFIC) LIMITED (RELYING ADVISER)",
    "D. E. SHAW & CO. (LONDON), LLP (RELYING ADVISER)",
    "D. E. SHAW (SINGAPORE) PTE. LTD. (RELYING ADVISER)",
    "D. E. SHAW ADVISER II, L.L.C. (RELYING ADVISER)",
    "D. E. SHAW ADVISER III, L.L.C. (RELYING ADVISER)",
    "D. E. SHAW ADVISER, L.L.C. (RELYING ADVISER)",
    "D. E. SHAW ALKALI ADVISER VI, L.L.C. (RELYING ADVISER)",
    "D. E. SHAW COMPOSITE ADVISER, L.L.C. (RELYING ADVISER)",
    "D. E. SHAW DIOPTER ADVISER II, L.L.C. (RELYING ADVISER)",
    "D. E. SHAW DIOPTER ADVISER, L.L.C. (RELYING ADVISER)",
    "D. E. SHAW DIRECT CAPITAL, L.L.C. (RELYING ADVISER)",
    "D. E. SHAW ESC ADVISER, L.L.C. (RELYING ADVISER)",
    "D. E. SHAW HELIANT ADVISER, L.L.C. (RELYING ADVISER)",
    "D. E. SHAW MULTI-ASSET ADVISER, L.L.C. (RELYING ADVISER)",
    "D. E. SHAW VOLTAIC ADVISER II, L.L.C. (RELYING ADVISER)"
  ],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1999-01-15",
  "years_registered": 27,
  "period": "2026-10-01",
  "filing_date": "2026-08-14",
  "carried_forward": false,
  "raum_total": 213364737381.0,
  "raum_discretionary": 213364737381.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 998,
  "advisory_employees": 526,
  "client_count_bucket": null,
  "clients_by_type": {
    "pooled_investment_vehicles": {
      "raum": 213364737381.0,
      "count": 23
    }
  },
  "compensation_types": [
    "other",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 3,
  "states_registered": [
    "CA",
    "CO",
    "KS",
    "MA",
    "NY"
  ],
  "websites": [
    "https://deshaw.com",
    "https://facebook.com/profile.php?id=100076885534092",
    "https://github.com/deshaw",
    "https://google.com/ (The D. E. Shaw Group business profile)",
    "https://instagram.com/thedeshawgroup",
    "https://linkedin.com/company/d.-e.-shaw-&-co",
    "https://medium.com/@the_d._e._shaw_group",
    "https://threads.net/@thedeshawgroup",
    "https://ventures.deshaw.com",
    "https://x.com/DESHAWGROUP",
    "https://youtube.com/channel/UCTapQuEwzIFwGNAphDrWjew"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/108679",
  "disclosure_items": [
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/d-e-shaw-and-co-l-p-new-york-ny-108679",
  "display_name": "D. E. Shaw & Co., L.P.",
  "summary": "D. E. Shaw & Co., L.P. is an SEC-registered investment advisory firm in New York, NY, registered since 1999, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated August 14, 2026.",
  "citation": "AdvisorCensus. D. E. Shaw & Co., L.P. (CRD 108679): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Performance-based fees",
    "Other"
  ],
  "advisory_activity_labels": [
    "Portfolio management for pooled investment vehicles (other than investment companies)"
  ],
  "quick_answers": [
    {
      "q": "How is D. E. Shaw & Co., L.P. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), D. E. Shaw & Co., L.P. reports these compensation arrangements: a percentage of assets under its management; performance-based fees; other. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is D. E. Shaw & Co., L.P. located?",
      "a": "D. E. Shaw & Co., L.P.'s principal office is in New York, NY, according to its Form ADV; the September 2026 filing also lists 4 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is D. E. Shaw & Co., L.P. registered with the SEC or a state?",
      "a": "D. E. Shaw & Co., L.P. is an SEC-registered investment advisory firm, registered since 1999. Status as filed: Approved. CRD 108679."
    },
    {
      "q": "How much does D. E. Shaw & Co., L.P. manage?",
      "a": "D. E. Shaw & Co., L.P. reports $213,364,737,381 in regulatory assets under management in its Form ADV filing dated August 14, 2026 (100% discretionary)."
    },
    {
      "q": "How have D. E. Shaw & Co., L.P.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for D. E. Shaw & Co., L.P.: Regulatory assets under management: $111,937,066,053 in the October 2021 data and $213,364,737,381 in the October 2026 data, up 91%. Total employees: 699 in October 2021 and 998 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does D. E. Shaw & Co., L.P. serve?",
      "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (23)."
    },
    {
      "q": "Does D. E. Shaw & Co., L.P. report any disciplinary disclosures?",
      "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/108679"
    },
    {
      "q": "What changed in D. E. Shaw & Co., L.P.'s recent Form ADV filings?",
      "a": "In the September 2026 filing data: Added the business name D. E. Shaw Voltaic Adviser II, L.L.C. (Relying Adviser)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 111937066053.0,
      "total_employees": 699,
      "filing_date": "2021-09-13"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 128024017604.0,
      "total_employees": 705,
      "filing_date": "2022-09-19"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 109281545881.0,
      "total_employees": 759,
      "filing_date": "2023-07-12"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 120474556565.0,
      "total_employees": 879,
      "filing_date": "2024-08-09"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 154586941935.0,
      "total_employees": 928,
      "filing_date": "2025-06-05"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 213364737381.0,
      "total_employees": 998,
      "filing_date": "2026-08-14"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-09-01",
      "period_label": "September 2026",
      "notes": [
        "Added the business name D. E. Shaw Voltaic Adviser II, L.L.C. (Relying Adviser)."
      ]
    },
    {
      "period": "2026-08-01",
      "period_label": "August 2026",
      "notes": [
        "Registered or notice-filed in CA, CO, KS, MA."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 476 to 526.",
        "Regulatory assets under management went from $154,586,941,935 to $213,364,737,381 (+38%).",
        "No longer lists an office in Las Vegas, NV.",
        "No longer lists an office in Menlo Park, CA."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "Item 11 disclosure answers changed: 3 yes answers, previously 5 (now no: 11.D(2), 11.D(4))."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/d-e-shaw-and-co-l-p-new-york-ny-108679.md",
  "clients": [
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 23,
      "fewer_than_5": false,
      "raum": 213364737381.0
    }
  ],
  "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/108679",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}