Investment adviser · CRD 108679

D. E. SHAW & CO., L.P.

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Aug 14, 2026

Regulatory AUM
$213B
Form ADV · Item 5.F
Client accounts
23
Accounts, not individual clients
Employees
998
Reported in this filing
Advisory professionals
526
Investment advisory functions

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client typeClientsRegulatory assetsShare of AUM
Pooled investment vehicles23$213,364,737,381100.0%
Filing source

Form ADV 2124876 · Aug 14, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

33 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

D. E. SHAW ALKALI PORTFOLIOS, L.L.C.Hedge Fund · Last reported Nov 9, 2018$268KGross asset value

Feeder funds

Fund administrator CITCO FUND SERVICES (CAYMAN ISLANDS) LTD. JERSEY CITY, New Jersey, United States Investor statements: No (provided to no investors) Related to adviser: No
Auditor ERNST & YOUNG LLP NEW YORK, New York, United States
Custodian HSBC BANK USA, N.A. NEW YORK, New York, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

ERNST & YOUNG LLP
PCAOB 42

HSBC BANK USA, N.A.
LEI 1IE8VN30JCEQV1H4R804

Fund details & source
Fund ID
805-5881185746
Reported beneficial owners
0
Minimum commitment
$1M
Form D file number
021-184817
Form D file number
021-184820

Form ADV 1245328 · Nov 9, 2018 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

D. E. SHAW ALKALI PORTFOLIOS II, L.L.C.Hedge Fund · Last reported Dec 18, 2025$251KGross asset value

Feeder funds

Custodian HSBC BANK USA, N.A. NEW YORK, New York, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

HSBC BANK USA, N.A.
LEI 1IE8VN30JCEQV1H4R804

Fund details & source
Fund ID
805-3031545284
Reported beneficial owners
0
Minimum commitment
$1M
Form D file number
021-205241
Form D file number
021-205242

Form ADV 2034742 · Dec 18, 2025 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

D. E. SHAW DIRECT CAPITAL PORTFOLIOS, L.L.C.Hedge Fund · Last reported Jan 23, 2024$196KGross asset value

No provider names available in this fund's imported disclosure.

Provider details
Annual audit
No
Prime brokers
No
Custodians
No
Administrator other than the adviser
No
External marketing
No
Fund details & source
Fund ID
805-3481875279
Reported beneficial owners
0
Minimum commitment
$1M

Form ADV 1808245 · Jan 23, 2024 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

D. E. SHAW TERRELLA FUND, L.P.Hedge Fund · Last reported Dec 18, 2025$2.07KGross asset value

Form D fundraising filings

D. E. Shaw Terrella Fund, L.P.

No provider names available in this fund's imported disclosure.

Provider details
Annual audit
No
Prime brokers
No
Custodians
No
Administrator other than the adviser
No
External marketing
No
Fund details & source
Fund ID
805-7657170835
Reported beneficial owners
0
Minimum commitment
$1M
Form D file number
021-169651

Form ADV 2034742 · Dec 18, 2025 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

D. E. SHAW PLASMA PORTFOLIOS, L.L.C.Hedge Fund · Last reported Nov 9, 2018$0Gross asset value
Fund administrator CITCO FUND SERVICES (CAYMAN ISLANDS) LTD JERSEY CITY, New Jersey, United States Investor statements: No (provided to no investors) Related to adviser: No
Auditor ERNST & YOUNG LLP NEW YORK, New York, United States
Custodian BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No
Custodian BARCLAYS BANK PLC LONDON, United Kingdom Related to adviser: No
Custodian BARCLAYS CAPITAL INC. NEW YORK, New York, United States Related to adviser: No
Custodian BARCLAYS CAPITAL SECURITIES LTD. LONDON, United Kingdom Related to adviser: No
Custodian BLACK ROCK, INC. NEW YORK, New York, United States Related to adviser: No
Custodian BNP PARIBAS NEW YORK, New York, United States Related to adviser: No
Custodian COMPUTERSHARE LIMITED CHICAGO, Illinois, United States Related to adviser: No
Custodian FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. SMITHFIELD, Rhode Island, United States Related to adviser: No
Custodian HSBC BANK PLC LONDON, United Kingdom Related to adviser: No
Custodian HSBC BANK USA, N.A. NEW YORK, New York, United States Related to adviser: No
Custodian INVESCO ADVISERS, INC. ATLANTA, Georgia, United States Related to adviser: No
Custodian J. ARON & COMPANY NEW YORK, New York, United States Related to adviser: No
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No
Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No
Prime broker BARCLAYS BANK PLC LONDON, United Kingdom
Prime broker BARCLAYS CAPITAL INC. NEW YORK, New York, United States
Prime broker BARCLAYS CAPITAL SECURITIES LTD. LONDON, United Kingdom
Prime broker BNP PARIBAS NEW YORK, New York, United States
Prime broker J. ARON & COMPANY NEW YORK, New York, United States
Prime broker MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States
Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

ERNST & YOUNG LLP
PCAOB 42

BANK OF NEW YORK MELLON
LEI HPFHU0OQ28E4N0NFVK49

BARCLAYS BANK PLC
LEI G5GSEF7VJP5I7OUK5573

BARCLAYS CAPITAL INC.
SEC 8-41342

BARCLAYS CAPITAL SECURITIES LTD.
LEI K9WDOH4D2PYBSLSOB484

BLACK ROCK, INC.
LEI 549300LRIF3NWCU26A80

BNP PARIBAS
LEI R0MUWSFPU8MPRO8K5P83

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC.
SEC 8-35097

HSBC BANK PLC
LEI MP6I5ZYZBEU3UXPYFY54

HSBC BANK USA, N.A.
LEI 1IE8VN30JCEQV1H4R804

INVESCO ADVISERS, INC.
LEI O37NHJVF7S22I1ONOU83

J. ARON & COMPANY
LEI MXKQVM4U1OHBQWFPG196

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

MORGAN STANLEY & CO. LLC
SEC 8-15869

BARCLAYS CAPITAL INC.
CRD 19714 · SEC 8-41342

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD 7691 · SEC 8-7221

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source
Fund ID
805-2978622275
Reported beneficial owners
0
Minimum commitment
$1M

Form ADV 1245328 · Nov 9, 2018 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Aug 14, 2026. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

TWO MANHATTAN WEST, 375 NINTH AVENUE, 52ND FLOOR
NEW YORK, NY, 10001, United States

CRD 108679

Filing source

Form ADV 2124876 · Aug 14, 2026 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.