D. E. Shaw Investment Management, L.L.C.
- Regulatory AUM
- $33.4B
- Discretionary
- $33.4B
- Clients
- 23
- Avg AUM / client
- $1.5B
- Accounts
- 26
- Employees
- 47
AUM over time
Annual snapshots from Form ADV filings · as of Jul 06, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 3 | $11.3B | 34.0% |
| Pooled investment vehicles (non-investment companies) | 20 | $19.5B | 58.4% |
| Pension and profit sharing plans | Fewer than 5 clients | $502M | 1.5% |
| State or municipal government entities | Fewer than 5 clients | $2.0B | 6.11% |
Private funds (15)
Reported in Form ADV Section 7.B.(1), filing of Aug 2024 · $13.0B combined gross assets
People (8)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Shaw, David, Elliot | Sole Stockholder, Chairman, And President | Nov 1992 (34y) | 75% or more of D. E. Shaw & Co., Inc. (indirect) | |
| Stone, Maximilian, Dana | Executive Committee Member | Mar 2017 (9y) | Less than 5% | |
| Fishman, Edward, Laurence | Executive Committee Member | Mar 2018 (8y) | Less than 5% | |
| Halaby, Alexis, Anne | Executive Committee Member | Mar 2018 (8y) | Less than 5% | |
| Breydo, Ruvim, Yefim | Executive Committee Member, Chief Investment Officer | Feb 2019 (8y) | Less than 5% | |
| Zemlyakova, Yevgenia, Vladimirovna | Chief Operating Officer | Jan 2020 (7y) | Less than 5% | |
| Lewkonia, Michael, William | General Counsel | Jul 2023 (3y) | Less than 5% | |
| Marcus, Daniel, Robbins | Chief Compliance Officer | Aug 2024 (2y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| D. E. Shaw & Co., L.P. | Managing Member | Feb 2005 | A | 75% or more |
| D. E. Shaw & Co., Inc. | General Partner | Nov 1992 | B | GP / trustee / elected manager of D. E. Shaw & Co., L.P. (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (15, $13.0B gross assets)
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/06/2026 | 9.05 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
- • Other fees
- • REIMBURSEMENT OF CERTAIN EXPENSES
Services
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- State Street $2.0B (6% of AUM) Jul 2026
- BNY Mellon $1.1B (3% of AUM) Mar 2020
- Fidelity Global Brokerage Group, Inc $502M (2% of AUM) Jul 2026
- J.P. Morgan $487M (2% of AUM) Feb 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 06, 2026.
View current Form ADV (SEC/IAPD) ↗