Private fund adviser · New York, NY
D. E. Shaw & Co., L.P.
SEC-registered investment adviser · CRD 108679 · SEC 801-56171
At a glance
D. E. Shaw & Co., L.P. is an SEC-registered investment adviser based in New York, New York, with $213.4 billion in regulatory assets under management as of its Form ADV filed August 14, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 25th of 4,686 private fund advisers and 119th of 17,210 SEC-registered advisers by assets.
Main office 212-478-0000deshaw.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $213B
- Rank among private fund advisers
- #25 of 4,686
- Rank among all SEC RIAs
- #119 of 17,210
- Rank in New York
- #25 of 2,591
- Clients
- 23
- Accounts
- 23
- Discretionary
- 100% of AUM
- Employees
- 998
- Advisory staff
- 526
- Offices
- 5
Owners and executives on its Form ADV
- David E. ShawLimited Partner
- Maximilian D. StoneExecutive Committee Member
- Christopher M. ZabackChief Financial Officer
- Edward L. FishmanChief Operating Officer, Executive Committee Member
- David M. SweetCo-General Counsel
- Martin N. LebwohlCo-General Counsel
- Anne C. DinningChair of the Executive Committee
- Alexis A. HalabyExecutive Committee Member
- Edwin A. JagerExecutive Committee Member
- Anoop N. PrasadExecutive Committee Member
- Adam A. DeatonExecutive Committee Member
- Daniel R. MarcusChief Compliance Officer
Custody and brokerage
Custodian
D. E. Shaw & Co., L.P.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
D. E. Shaw & Co., L.P. is a hybrid RIA: 36 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: D.E. Shaw Securities, L.L.C..
- D.E. Shaw Securities, L.L.C. ↗CRD 24332
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 23 | $213B | 100% |
Private funds
D. E. Shaw & Co., L.P. reports 13 private funds with $213B in gross assets: hedge funds (Form ADV Item 7.B).
Disciplinary disclosures
D. E. Shaw & Co., L.P. answers yes to 3 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for pooled investment vehicles
How it’s paid
- A percentage of assets under management
- Performance-based fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗deshaw.com ↗
AtlasMembers
The full record on D. E. Shaw & Co., L.P.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 118 peers of its type and size
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- Owners and executives, with titles and stakes
- 12 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 3Locked
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Background
Questions
How much does D. E. Shaw & Co., L.P. manage?
D. E. Shaw & Co., L.P. reports $213.4 billion in regulatory assets under management across 23 accounts, 100% of it on a discretionary basis, on its Form ADV filed August 14, 2026.
What kind of firm is D. E. Shaw & Co., L.P.?
D. E. Shaw & Co., L.P. is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
Who are D. E. Shaw & Co., L.P.’s clients?
By assets, its largest client types are pooled investment vehicles ($213.4 billion, 23 clients).
Does D. E. Shaw & Co., L.P. manage private funds?
Yes. It reports 13 private funds with $213.4 billion in gross assets, including hedge funds.
Does D. E. Shaw & Co., L.P. have any disciplinary history?
D. E. Shaw & Co., L.P. answers yes to 3 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is D. E. Shaw & Co., L.P.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-14), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →