9AT: D. E. SHAW INVESTMENT MANAGEMENT, L.L.C.

other names

Adviser Profile

As of Date	08/09/2024
Adviser Type - Large advisory firm - An investment adviser (or subadviser) to an investment company
Number of Employees	45 4.65%
of those in investment advisory functions	43 2.38%
Registration	SEC, Approved, 05/26/2005

AUM^*	22,140,772,595 -8.02%
of that, discretionary	22,140,772,595 -8.02%
Private Fund GAV^*	12,961,175,179 -20.96%
Avg Account Size	962,642,287 -8.02%
SMA’s	Yes
Private Funds	15 1
Contact Info	212 xxxxxxx
Websites

Client Types

- Investment companies
- Pooled investment vehicles
- Pension and profit sharing plans
- State or municipal government entities

Advisory Activities

- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management
- Performance-based fees

Fund Type	Count	GAV
Fund TypeHedge Fund	Count15	GAV$12,961,175,179

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser EAGLE CAPITAL MANAGEMENT LLC	Hedge Fund172.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV172.5m	AUM29.1b	#Funds1
Adviser D.A. DAVIDSON & CO.	Hedge Fund58.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV58.0m	AUM27.9b	#Funds1
Adviser PARALLAX VOLATILITY ADVISERS, L.P.	Hedge Fund8.1b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV8.1b	AUM8.1b	#Funds1
Adviser DIAMOND HILL CAPITAL MANAGEMENT INC	Hedge Fund20.8m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV20.8m	AUM27.4b	#Funds1
Adviser TOWERS WATSON INVESTMENT MANAGEMENT	Hedge Fund6.1b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV6.1b	AUM23.5b	#Funds3
Adviser BAKER BROTHERS INVESTMENTS	Hedge Fund22.0b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV22.0b	AUM22.0b	#Funds2
Adviser POLAR CAPITAL	Hedge Fund20.9b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV20.9b	AUM29.2b	#Funds24
Adviser FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED	Hedge Fund151.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV151.0m	AUM25.3b	#Funds2
Adviser OPPENHEIMER & CO. INC.	Hedge Fund13.9m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV13.9m	AUM27.5b	#Funds1
Adviser CAXTON ASSOCIATES LP	Hedge Fund25.6b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV25.6b	AUM25.6b	#Funds6

Brochure Summary

Overview

DESIM is a Delaware limited liability company and an investment adviser registered with and regulated by the SEC under the Advisers Act. DESIM serves as an investment adviser to certain clients through separately managed accounts and as the managing member or manager of, and/or the investment adviser to, certain affiliated collective investment vehicles and other entities in the D. E. Shaw group (such investment vehicles and other entities, collectively, the “Funds”). With respect to certain Funds, the Adviser provides investment advice to such Funds in its capacity as their managing member or manager. (As used in this brochure, the term “clients” refers both to the Adviser’s separately managed account clients and to the Funds, as applicable.) The investor base of the Funds comprises institutions and other sophisticated investors, including high- net-worth individuals. These investors must meet certain minimum financial requirements (e.g., an institution generally must own and invest on a discretionary basis at least $25 million of certain investments), among other requirements, to be eligible to participate in the Funds, which are structured as private

investment companies that are exempt from registration as investment companies under the U.S. Investment Company Act of 1940, as amended (the “Investment Company Act”). The D. E. Shaw group was founded in 1988. DESIM was formed in and has been a registered investment adviser since 2005. The D. E. Shaw group invests globally in both public and private markets and uses a broad array of strategies, including systematic strategies based on quantitative and computational techniques, discretionary strategies based primarily on human analysis, and hybrid strategies that combine systematic and discretionary approaches to investing. D. E. Shaw & Co., L.P. (“DESCO LP”) is the managing member and sole owner of DESIM. DESIM bases its advice to clients on the investment objectives and restrictions (if any) set forth in such clients’ applicable investment management agreements, offering memoranda, organizational documents, and/or subscription agreements, as the case may be (each, a “Governing Document,” and collectively, the “Governing Documents”). DESIM managed approximately $18,339,000,000 in investment capital on a discretionary basis as of January 1, 2024.

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

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