{
  "crd_number": 135284,
  "slug": "d-e-shaw-investment-management-l-l-c-new-york-ny-135284",
  "primary_business_name": "D. E. SHAW INVESTMENT MANAGEMENT, L.L.C.",
  "legal_name": "D. E. SHAW INVESTMENT MANAGEMENT, L.L.C.",
  "dbas": [],
  "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": "2005-05-26",
  "years_registered": 21,
  "period": "2026-10-01",
  "filing_date": "2026-07-06",
  "carried_forward": false,
  "raum_total": 33368169339.0,
  "raum_discretionary": 33368169339.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 47,
  "advisory_employees": 45,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "state_municipal": {
      "raum": 2040025446.0,
      "count": null,
      "fewer_than_5": true
    },
    "investment_companies": {
      "raum": 11345763112.0,
      "count": 3
    },
    "pension_profit_sharing": {
      "raum": 501733514.0,
      "count": null,
      "fewer_than_5": true
    },
    "pooled_investment_vehicles": {
      "raum": 19480647267.0,
      "count": 20
    }
  },
  "compensation_types": [
    "other",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_investment_companies",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 3,
  "states_registered": [
    "CA",
    "CO",
    "NY"
  ],
  "websites": [
    "https://deshaw.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/135284",
  "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-investment-management-l-l-c-new-york-ny-135284",
  "display_name": "D. E. Shaw Investment Management, L.L.C.",
  "summary": "D. E. Shaw Investment Management, L.L.C. is an SEC-registered investment advisory firm in New York, NY, registered since 2005, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated July 6, 2026.",
  "citation": "AdvisorCensus. D. E. Shaw Investment Management, L.L.C. (CRD 135284): 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 investment companies (and business development companies)",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients"
  ],
  "quick_answers": [
    {
      "q": "How is D. E. Shaw Investment Management, L.L.C. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), D. E. Shaw Investment Management, L.L.C. 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 Investment Management, L.L.C. located?",
      "a": "D. E. Shaw Investment Management, L.L.C.'s principal office is in New York, NY, according to its Form ADV; the August 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is D. E. Shaw Investment Management, L.L.C. registered with the SEC or a state?",
      "a": "D. E. Shaw Investment Management, L.L.C. is an SEC-registered investment advisory firm, registered since 2005. Status as filed: Approved. CRD 135284."
    },
    {
      "q": "How much does D. E. Shaw Investment Management, L.L.C. manage?",
      "a": "D. E. Shaw Investment Management, L.L.C. reports $33,368,169,339 in regulatory assets under management in its Form ADV filing dated July 6, 2026 (100% discretionary)."
    },
    {
      "q": "How have D. E. Shaw Investment Management, L.L.C.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for D. E. Shaw Investment Management, L.L.C.: Regulatory assets under management: $34,052,277,985 in the October 2021 data and $33,368,169,339 in the October 2026 data, down 2%. Total employees: 39 in October 2021 and 47 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 Investment Management, L.L.C. serve?",
      "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (20); investment companies (3)."
    },
    {
      "q": "Which custodians does D. E. Shaw Investment Management, L.L.C. use?",
      "a": "D. E. Shaw Investment Management, L.L.C.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Global Brokerage Group, Inc and State Street Bank and Trust Company as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does D. E. Shaw Investment Management, L.L.C. 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/135284"
    },
    {
      "q": "What changed in D. E. Shaw Investment Management, L.L.C.'s recent Form ADV filings?",
      "a": "In the August 2026 filing data: Registered or notice-filed in CA, CO."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 34052277985.0,
      "total_employees": 39,
      "filing_date": "2021-03-31"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 27520951456.0,
      "total_employees": 41,
      "filing_date": "2022-03-31"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 24072488307.0,
      "total_employees": 43,
      "filing_date": "2023-07-31"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 22140772595.0,
      "total_employees": 45,
      "filing_date": "2024-08-09"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 21045433296.0,
      "total_employees": 48,
      "filing_date": "2025-06-06"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 33368169339.0,
      "total_employees": 47,
      "filing_date": "2026-07-06"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-08-01",
      "period_label": "August 2026",
      "notes": [
        "Registered or notice-filed in CA, CO."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 46 to 45.",
        "Regulatory assets under management went from $21,045,433,296 to $33,368,169,339 (+59%).",
        "Added an office in San Francisco, CA.",
        "No longer lists an office in Wellesley, MA."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Fidelity Global Brokerage Group, Inc",
      "name_as_filed": "FIDELITY GLOBAL BROKERAGE GROUP, INC",
      "affiliated": false
    },
    {
      "name": "State Street Bank and Trust Company",
      "name_as_filed": "STATE STREET BANK AND TRUST COMPANY",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/d-e-shaw-investment-management-l-l-c-new-york-ny-135284.md",
  "clients": [
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 3,
      "fewer_than_5": false,
      "raum": 11345763112.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 20,
      "fewer_than_5": false,
      "raum": 19480647267.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": null,
      "fewer_than_5": true,
      "raum": 501733514.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": null,
      "fewer_than_5": true,
      "raum": 2040025446.0
    }
  ],
  "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/135284",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}