Investment adviser · CRD 147212

D. E. SHAW DIRECT CAPITAL, L.L.C.

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 30, 2018

Regulatory AUM
$89.1M
Form ADV · Item 5.F
Client accounts
3
Accounts, not individual clients
Employees
3
Reported in this filing
Advisory professionals
1
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 vehicles3$89,133,652100.0%
Filing source

Form ADV 1191237 · Mar 30, 2018 · 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

1 Private fund

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 DIRECT CAPITAL PORTFOLIOS, L.L.C.Hedge Fund · Last reported Mar 30, 2018$89.1MGross asset value

Feeder funds

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States
Custodian BARCLAYS BANK PLC, NEW YORK BRANCH NEW YORK, New York, United States Related to adviser: No
Custodian HSBC BANK USA, N.A. NEW YORK, New York, United States Related to adviser: No
Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No
Prime broker BARCLAYS BANK PLC, NEW YORK BRANCH NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

ERNST & YOUNG LLP
PCAOB 42

BARCLAYS BANK PLC, NEW YORK BRANCH
LEI G5GSEF7VJP5I7OUK5573

HSBC BANK USA, N.A.
LEI 1IE8VN30JCEQV1H4R804

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

Fund details & source
Fund ID
805-3481875279
Reported beneficial owners
30
Minimum commitment
$1M
Form D file number
021-119811
Form D file number
021-119846

Form ADV 1191237 · Mar 30, 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: Mar 30, 2018. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

1166 AVENUE OF THE AMERICAS, 9TH FLOOR
NEW YORK, NY, 10036, United States

CRD 147212

Filing source

Form ADV 1191237 · Mar 30, 2018 · 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.