Investment adviser · CRD 135284

D. E. SHAW INVESTMENT MANAGEMENT, L.L.C.

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Jul 6, 2026

Regulatory AUM: $33.4B
Client accounts: 26
Employees: 47
Advisory professionals: 45

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	20	$19,480,647,267	58.4%
Investment companies	3	$11,345,763,112	34.0%
Government entities	Fewer than 5	$2,040,025,446	6.1%
Retirement plans	Fewer than 5	$501,733,514	1.5%

Filing source

Form ADV 2116888 · Jul 6, 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

24 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 LITHIC PORTFOLIOS, L.L.C.Hedge Fund · Last reported Jul 6, 2026$5.46BGross 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 ALLSPRING FUNDS MANAGEMENT, LLC CHARLOTTE, North Carolina, United States Related to adviser: No

Custodian BANCO SANTANDER, S.A. SANTANDER, Spain Related to adviser: No

Custodian BANK OF AMERICA, N.A. CHARLOTTE, North Carolina, United States Related to adviser: No

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 BANK PLC, NEW YORK BRANCH 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 PARIS, France Related to adviser: No

Custodian BNP PARIBAS SECURITIES CORP. NEW YORK, New York, United States Related to adviser: No

Custodian BOFA SECURITIES INC. NEW YORK, New York, United States Related to adviser: No

Custodian CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No

Custodian DEUTSCHE BANK AG FRANKFURT, Germany Related to adviser: No

Custodian HSBC BANK USA, N.A. MCLEAN, Virginia, United States Related to adviser: No

Custodian INVESCO ADVISERS, INC. ATLANTA, Georgia, United States Related to adviser: No

Custodian JPMORGAN CHASE BANK N.A. COLUMBUS, Ohio, United States Related to adviser: No

Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Custodian MACQUARIE BANK LIMITED SYDNEY, Australia Related to adviser: No

Custodian MERRILL LYNCH INTERNATIONAL LONDON, United Kingdom Related to adviser: No

Custodian MORGAN STANLEY CAPITAL SERVICES, INC. NEW YORK, New York, United States Related to adviser: No

Custodian MORGAN STANLEY & CO. INTERNATIONAL PLC LONDON, United Kingdom Related to adviser: No

Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian NOMURA INTERNATIONAL PLC LONDON, United Kingdom Related to adviser: No

Custodian SCOTIA CAPITAL (USA) INC. NEW YORK, New York, United States Related to adviser: No

Custodian STATE STREET INSTITUTIONAL INVESTMENT TRUST BOSTON, Massachusetts, United States Related to adviser: No

Marketer D. E. SHAW & CO. (ASIA PACIFIC) LIMITED HONG KONG, Hong Kong Related to adviser: Yes

Marketer D. E. SHAW & CO. (LONDON), LLP LONDON, United Kingdom Related to adviser: Yes

Marketer D. E. SHAW & CO. (SINGAPORE) PTE. LTD. SINGAPORE, Singapore Related to adviser: Yes

Marketer D.E. SHAW SECURITIES, L.L.C. NEW YORK, New York, United States Related to adviser: Yes

Prime broker BANCO SANTANDER, S.A. SANTANDER, Spain

Prime broker BANK OF AMERICA, N.A. CHARLOTTE, North Carolina, United States

Prime broker BARCLAYS BANK PLC LONDON, United Kingdom

Prime broker BARCLAYS BANK PLC, NEW YORK BRANCH 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 PARIS, France

Prime broker BNP PARIBAS SECURITIES CORP. NEW YORK, New York, United States

Prime broker BOFA SECURITIES INC. NEW YORK, New York, United States

Prime broker CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States

Prime broker DEUTSCHE BANK AG FRANKFURT, Germany

Prime broker JPMORGAN CHASE BANK N.A. COLUMBUS, Ohio, United States

Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States

Prime broker MACQUARIE BANK LIMITED SYDNEY, Australia

Prime broker MERRILL LYNCH INTERNATIONAL LONDON, United Kingdom

Prime broker MORGAN STANLEY CAPITAL SERVICES, INC. NEW YORK, New York, United States

Prime broker MORGAN STANLEY & CO. INTERNATIONAL PLC LONDON, United Kingdom

Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States

Prime broker NOMURA INTERNATIONAL PLC LONDON, United Kingdom

Prime broker SCOTIA CAPITAL (USA) INC. NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

ERNST & YOUNG LLP
PCAOB 42

ALLSPRING FUNDS MANAGEMENT, LLC
LEI 549300HDKZE50HZZOG90

BANCO SANTANDER, S.A.
LEI 5493006QMFDDMYWIAM13

BANK OF AMERICA, N.A.
LEI B4TYDEB6GKMZO031MB27

BANK OF NEW YORK MELLON
LEI HPFHU0OQ28E4N0NFVK49

BARCLAYS BANK PLC
LEI G5GSEF7VJP5I7OUK5573

BARCLAYS BANK PLC, NEW YORK BRANCH
LEI G5GSEF7VJP5I7OUK5573

BARCLAYS CAPITAL INC.
SEC 8-41342 · LEI AC28XWWI3WIBK2824319

BARCLAYS CAPITAL SECURITIES, LTD.
LEI K9WDOH4D2PYBSLSOB484

BLACK ROCK, INC.
LEI 549300LRIF3NWCU26A80

BNP PARIBAS
LEI R0MUWSFPU8MPRO8K5P83

BNP PARIBAS SECURITIES CORP.
LEI RCNB6OTYUAMMP879YW96

BOFA SECURITIES INC.
LEI 549300HN4UKV1E2R3U73

CITIGROUP GLOBAL MARKETS INC.
SEC 8-8177 · LEI MBNUM2BPBDO7JBLYG310

DEUTSCHE BANK AG
LEI 7LTWFZYICNSX8D621K86

HSBC BANK USA, N.A.
LEI 1IE8VN30JCEQV1H4R804

INVESCO ADVISERS, INC.
LEI O37NHJVF7S22I1ONOU83

JPMORGAN CHASE BANK N.A.
LEI 7H6GLXDRUGQFU57RNE97

J.P. MORGAN SECURITIES LLC
SEC 8-35008 · LEI ZBUT11V806EZRVTWT807

MACQUARIE BANK LIMITED
LEI 4ZHCHI4KYZG2WVRT8631

MERRILL LYNCH INTERNATIONAL
LEI GGDZP1UYGU9STUHRDP48

MORGAN STANLEY CAPITAL SERVICES, INC.
LEI I7331LVCZKQKX5T7XV54

MORGAN STANLEY & CO. INTERNATIONAL PLC
LEI 4PQUHN3JPFGFNF3BB653

MORGAN STANLEY & CO. LLC
LEI 9R7GPTSO7KV3UQJZQ078

NOMURA INTERNATIONAL PLC
LEI DGQCSV2PHVF7I2743539

SCOTIA CAPITAL (USA) INC.
SEC 8-3716 · LEI 549300BLWPABP1VNME36

D. E. SHAW & CO. (ASIA PACIFIC) LIMITED
CRD 294484

D. E. SHAW & CO. (LONDON), LLP
CRD 294624

D. E. SHAW & CO. (SINGAPORE) PTE. LTD.
CRD 316816

D.E. SHAW SECURITIES, L.L.C.
CRD 24332 · SEC 8-40745

BARCLAYS CAPITAL INC.
CRD 19714 · SEC 8-41342

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 8-8177

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

SCOTIA CAPITAL (USA) INC.
CRD 2739 · SEC 8-3716

Fund details & source

Fund ID: 805-1603431349
Reported beneficial owners: 87
Minimum commitment: $1M
Form D file number: 021-452317
Form D file number: 021-455764

Form ADV 2116888 · Jul 6, 2026 · 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 WORLD ALPHA EXTENSION PORTFOLIOS, L.L.C.Hedge Fund · Last reported Jul 6, 2026$2.86BGross 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 ALLSPRING FUNDS MANAGEMENT, LLC CHARLOTTE, North Carolina, United States Related to adviser: No

Custodian BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No

Custodian BLACK ROCK, INC. NEW YORK, New York, United States Related to adviser: No

Custodian CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States Related to adviser: No

Custodian FIDELITY GLOBAL BROKERAGE GROUP, INC BOSTON, Massachusetts, United States Related to adviser: No

Custodian HSBC BANK PLC LONDON, United Kingdom Related to adviser: No

Custodian HSBC BANK USA, N.A. MCLEAN, Virginia, United States Related to adviser: No

Custodian INVESCO ADVISERS, INC. ATLANTA, Georgia, United States Related to adviser: No

Custodian JPMORGAN CHASE BANK N.A. COLUMBUS, Ohio, United States Related to adviser: No

Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Custodian MORGAN STANLEY INSTITUTIONAL LIQUIDITY FUNDS NEW YORK, New York, United States Related to adviser: No

Custodian NORTHERN TRUST INVESTMENTS, INC. CHICAGO, Illinois, United States Related to adviser: No

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No

Marketer D. E. SHAW & CO. (ASIA PACIFIC) LIMITED HONG KONG, Hong Kong Related to adviser: Yes

Marketer D. E. SHAW & CO. (LONDON), LLP LONDON, United Kingdom Related to adviser: Yes

Marketer D. E. SHAW & CO. (SINGAPORE) PTE. LTD. SINGAPORE, Singapore Related to adviser: Yes

Marketer D.E. SHAW SECURITIES, L.L.C. NEW YORK, New York, United States Related to adviser: Yes

Prime broker BANK OF NEW YORK MELLON NEW YORK, New York, United States

Prime broker CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States

Prime broker HSBC BANK PLC LONDON, United Kingdom

Prime broker JPMORGAN CHASE BANK N.A. COLUMBUS, Ohio, United States

Prime broker J.P. MORGAN SECURITIES 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: Yes

ERNST & YOUNG LLP
PCAOB 42

ALLSPRING FUNDS MANAGEMENT, LLC
LEI 549300HDKZE50HZZOG90

BANK OF NEW YORK MELLON
LEI HPFHU0OQ28E4N0NFVK49

BLACK ROCK, INC.
LEI 549300LRIF3NWCU26A80

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

FIDELITY GLOBAL BROKERAGE GROUP, INC
LEI 549300ZA3W0M0O9BHO64

HSBC BANK PLC
LEI MP6I5ZYZBEU3UXPYFY54

HSBC BANK USA, N.A.
LEI 1IE8VN30JCEQV1H4R804

INVESCO ADVISERS, INC.
LEI O37NHJVF7S22I1ONOU83

JPMORGAN CHASE BANK N.A.
LEI 7H6GLXDRUGQFU57RNE97

J.P. MORGAN SECURITIES LLC
SEC 8-35008 · LEI ZBUT11V806EZRVTWT807

MORGAN STANLEY INSTITUTIONAL LIQUIDITY FUNDS
LEI 5493000A332Y142SOW84

NORTHERN TRUST INVESTMENTS, INC.
LEI BEL4B8X7EHJU845Y2N39

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

D. E. SHAW & CO. (ASIA PACIFIC) LIMITED
CRD 294484

D. E. SHAW & CO. (LONDON), LLP
CRD 294624

D. E. SHAW & CO. (SINGAPORE) PTE. LTD.
CRD 316816

D.E. SHAW SECURITIES, L.L.C.
CRD 24332 · SEC 8-40745

CREDIT SUISSE SECURITIES (USA) LLC
CRD 816 · SEC 8-422

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

Fund details & source

Fund ID: 805-4885776137
Reported beneficial owners: 23
Minimum commitment: $1M
Form D file number: 021-125908
Form D file number: 021-305759

Form ADV 2116888 · Jul 6, 2026 · 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 LITHIC HV PORTFOLIOS, L.L.C.Hedge Fund · Last reported Jul 6, 2026$2.75BGross asset value