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

Adviser information for D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Delaware, United States

Employees

Total Number of Employees	45
Investment Advisory/Research	43
Registered Broker-Dealer Representatives	8
Registered State Investment Advisers	0
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	1

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	23	$22.1B
Non-Discretionary	0	$0
Total	23	$22.1B

Clients

Type	Number	RAUM
Individuals	0	$0
HNW Individuals	0	$0
Banking or thrift institutions	0	$0
Investment companies	3	$7.1B
Business development companies	0	$0
Pooled investment vehicles	17	$13.1B
Pension and profit sharing plans	<5	$342.9M
Charitable organizations	0	$0
State or municipal gov entities	<5	$1.6B
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	0	$0
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	9
No. of Financial Planning Clients	0

Services

Advisory Services	Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients
Compensation	% of AUMPerformance-based feesREIMBURSEMENT OF CERTAIN EXPENSES
Other Business Activities	Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number	801-64222
SEC ERA File Number	801-64222
SEC CIK Numbers	1335794
SEC CRD Numbers	135284
Legal Entity Identifier	549300ZUDX4FNDGUSO63

Principal Office

1166 AVENUE OF THE AMERICAS
NINTH FLOOR
NEW YORK
NY
United States

Monday - Friday, 9 AM - 5 PM

Tel: 212-478-0000, Fax: 212-478-0100

Websites

www.deshaw.com/

Chief Compliance Officer

NATHAN CLARK THOMAS

CHIEF COMPLIANCE OFFICER

1166 AVENUE OF THE AMERICAS

NINTH FLOOR

NEW YORK

United States

Tel: 212-478-0000

Fax: 212-845-0100

R*********@*************M

(Full email address available in API data)

Industry Affiliates

D. E. SHAW & CO. (ASIA PACIFIC) LIMITED	Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners
D. E. SHAW & CO. (BERMUDA), LTD.	Insurance company or agency
D. E. SHAW & CO. (LONDON), LLP	Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners
D. E. SHAW & CO. (SINGAPORE) PTE. LTD.	Other investment adviser, including financial planners
D. E. SHAW & CO., L.L.C.	Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
D. E. SHAW & CO., L.P.	Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
D. E. SHAW ADVISER II, L.L.C	Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
D. E. SHAW ADVISER III, L.L.C.	Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
D. E. SHAW ADVISER, L.LC.	Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
D. E. SHAW ALKALI ADVISER VI, L.L.C.	Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
D. E. SHAW ALKALI GENERAL PARTNER II, L.L.C.	Sponsor, GP, manager of pooled investment vehicles
D. E. SHAW ALKALI GENERAL PARTNER III, L.L.C.	Sponsor, GP, manager of pooled investment vehicles
D. E. SHAW ALKALI GENERAL PARTNER IV, L.L.C.	Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
D. E. SHAW ALKALI GENERAL PARTNER V, L.L.C.	Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
D. E. SHAW ALKALI GENERAL PARTNER VI, L.L.C.	Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
D. E. SHAW ALKALI HOLDINGS VI, L.L.C.	Sponsor, GP, manager of pooled investment vehicles
D. E. SHAW ALKALI MANAGER VI, L.L.C.	Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
D. E. SHAW ALL COUNTRY GLOBAL ALPHA EXTENSION CUSTOM FUND GP, L.L.C.	Sponsor, GP, manager of pooled investment vehicles
D. E. SHAW ALL COUNTRY GLOBAL ALPHA PLUS SPECIAL FUND GP, L.L.C.	Sponsor, GP, manager of pooled investment vehicles
D. E. SHAW ASYMPTOTE INTERNATIONAL FUND GP, L.L.C.	Sponsor, GP, manager of pooled investment vehicles
D. E. SHAW CEOF GP, L.L.C.	Sponsor, GP, manager of pooled investment vehicles
D. E. SHAW COMPOSITE ADVISER, L.L.C.	Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
D. E. SHAW COMPOSITE INTERNATIONAL FUND GP, L.L.C.	Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
D. E. SHAW COMPOSITE MANAGER, L.L.C.	Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
D. E. SHAW DIOPTER ADVISER, L.L.C.	Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
D. E. SHAW DIOPTER GENERAL PARTNER, L.L.C.	Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
D. E. SHAW DIOPTER MANAGER, L.L.C.	Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
D. E. SHAW DIRECT CAPITAL, L.L.C.	Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
D. E. SHAW ESC ADVISER, L.L.C.	Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
D. E. SHAW ESC MANAGER, L.L.C.	Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
D. E. SHAW HELIANT ADVISER, L.L.C.	Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
D. E. SHAW HELIANT MANAGER, L.L.C.	Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
D. E. SHAW INVESTMENT MANAGEMENT (SHANGHAI) CO., LTD.	Other investment adviser, including financial planners
D. E. SHAW INVESTMENT MANAGEMENT OFFSHORE GP, L.L.C.	Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
D. E. SHAW MANAGER II, L.L.C.	Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
D. E. SHAW MANAGER III, L.L.C.	Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
D. E. SHAW MANAGER, L.L.C.	Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
D. E. SHAW MULTI-ASSET ADVISER, L.L.C.	Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
D. E. SHAW MULTI-ASSET MANAGER GP, L.L.C.	Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
D. E. SHAW MULTI-ASSET MANAGER, L.L.C.	Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
D. E. SHAW RE (BERMUDA), LTD.	Insurance company or agency
D. E. SHAW RENEWABLE INVESTMENTS, L.L.C.	Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
D. E. SHAW TERRELLA FUND GP, L.L.C.	Sponsor, GP, manager of pooled investment vehicles
D. E. SHAW U.S. BROAD MARKET CORE ALPHA PLUS SPECIAL FUND GP, L.L.C.	Sponsor, GP, manager of pooled investment vehicles
D. E. SHAW VALENCE INTERNATIONAL FUND GP, L.L.C.	Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
D. E. SHAW VOLTAIC GENERAL PARTNER, L.L.C.	Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
D.E. SHAW SECURITIES, L.L.C.	Broker-dealer, municipal securities dealer, or gov securities broker or dealer
RENEWABLE ENERGY ASSETCO II MANAGER, L.L.C.	Sponsor, GP, manager of pooled investment vehicles
RENEWABLE ENERGY ASSETCO II, L.L.C.	Sponsor, GP, manager of pooled investment vehicles
RENEWABLE ENERGY ASSETCO III MANAGER, L.L.C.	Sponsor, GP, manager of pooled investment vehicles
RENEWABLE ENERGY ASSETCO III, L.L.C.	Sponsor, GP, manager of pooled investment vehicles
RENEWABLE ENERGY ASSETCO MANAGER, L.L.C.	Sponsor, GP, manager of pooled investment vehicles
RENEWABLE ENERGY ASSETCO SIDECAR MANAGER, L.L.C.	Sponsor, GP, manager of pooled investment vehicles
RENEWABLE ENERGY ASSETCO SIDECAR, L.L.C.	Sponsor, GP, manager of pooled investment vehicles
RENEWABLE ENERGY ASSETCO, L.L.C.	Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name	Type	Assets $USD	Min Investment $USD	No. Owners
D. E. SHAW ALL COUNTRY GLOBAL ALPHA EXTENSION CUSTOM FUND, L.P.	Hedge Fund	$16.3M	$1.0M	0
D. E. SHAW ALL COUNTRY GLOBAL ALPHA EXTENSION PORTFOLIOS, L.L.C.	Hedge Fund	$556.2M	$1.0M	16
D. E. SHAW ALL COUNTRY GLOBAL ALPHA PLUS PORTFOLIOS II, L.L.C.	Hedge Fund	$187.3M	$1.0M	2
D. E. SHAW ALL COUNTRY GLOBAL ALPHA PLUS PORTFOLIOS, L.L.C.	Hedge Fund	$376.7M	$1.0M	2
D. E. SHAW ALL COUNTRY GLOBAL ALPHA PLUS SPECIAL FUND, L.P.	Hedge Fund	$0.0M	$1.0M	0
D. E. SHAW ALL COUNTRY GLOBAL VALUE ACTIVE PORTFOLIOS, L.L.C.	Hedge Fund	$229.9M	$1.0M	2
D. E. SHAW LITHIC PORTFOLIOS, L.L.C.	Hedge Fund	$1,988.1M	$1.0M	42
D. E. SHAW ORIENTEER PORTFOLIOS, L.L.C.	Hedge Fund	$1,003.0M	$1.0M	18
D. E. SHAW U.S. BROAD MARKET CORE ALPHA EXTENSION PORTFOLIOS, L.L.C.	Hedge Fund	$1,865.5M	$1.0M	28
D. E. SHAW U.S. BROAD MARKET CORE ENHANCED PLUS (CARBON EXPOSURE REDUCTION TARGET) PORTFOLIOS, L.L.C.	Hedge Fund	$122.3M	$1.0M	4
D. E. SHAW U.S. LARGE CAP CORE ALPHA EXTENSION PORTFOLIOS, L.L.C.	Hedge Fund	$550.4M	$1.0M	3
D. E. SHAW U.S. LARGE CAP CORE ENHANCED PORTFOLIOS, L.L.C.	Hedge Fund	$186.7M	$1.0M	8
D. E. SHAW U.S. LARGE CAP CORE ENHANCED SPECIAL PORTFOLIOS (MA), L.L.C.	Hedge Fund	$412.7M	$1.0M	2
D. E. SHAW WORLD ALPHA EXTENSION CUSTOM FUND, L.L.C.	Hedge Fund	$631.9M	$1.0M	2
D. E. SHAW WORLD ALPHA EXTENSION PORTFOLIOS, L.L.C.	Hedge Fund	$4,834.3M	$1.0M	32

Control Persons

Name	Type	Entity	Title	Since	Ownership
D. E. SHAW & CO., L.P.	Domestic Entity	–	MANAGING MEMBER	02/2005	> 75%
SHAW, DAVID, ELLIOT	Individual	D. E. SHAW & CO., INC.	SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT	11/1992	> 75%
SHAW, DAVID, ELLIOT	Individual	D. E. SHAW & CO., L.P.	LIMITED PARTNER	01/1993	50-75%
D. E. SHAW & CO., INC.	Domestic Entity	D. E. SHAW & CO., L.P.	GENERAL PARTNER	11/1992
THOMAS, NATHAN, CLARK	Individual	–	CHIEF COMPLIANCE OFFICER	06/2011	< 5%
STONE, MAXIMILIAN, DANA	Individual	–	EXECUTIVE COMMITTEE MEMBER	03/2017	< 5%
FISHMAN, EDWARD, LAURENCE	Individual	–	EXECUTIVE COMMITTEE MEMBER	03/2018	< 5%
HALABY, ALEXIS, ANNE	Individual	–	EXECUTIVE COMMITTEE MEMBER	03/2018	< 5%
BREYDO, RUVIM, YEFIM	Individual	–	EXECUTIVE COMMITTEE MEMBER, CHIEF INVESTMENT OFFICER	02/2019	< 5%
ZEMLYAKOVA, YEVGENIA, VLADIMIROVNA	Individual	–	CHIEF OPERATING OFFICER	01/2020	< 5%
LEWKONIA, MICHAEL, WILLIAM	Individual	–	GENERAL COUNSEL	07/2023	< 5%

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