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CAXTON ASSOCIATES (USA) LLC
CRD 132823File 801-63731
APPROVED
Custody
Disclosure events
Filing as of Sep 18, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$4.63B
Top 25% of cohort (national)
Discretionary AUM
$4.63B
Clients
9
9 accounts
Employees
25
Top 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jan 3, 2005
- Principal office
- 280 PARK AVENUE, 43RD FLOOR, NEW YORK, NY, 10017
- Phone
- 212-593-7700
- Website
- HTTP://WWW.CAXTON.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $4.63B
- Discretionary AUM
- $4.63B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 9
- Non-discretionary accounts
- 0
- Total accounts
- 9
- AUM per client
- $514.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Pooled investment vehicles | 9 | $4.63B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Other (described) — PASS-THROUGH EXPENSES
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Portfolio management for pooled investment vehicles
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11- Q11D2
- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 27 | 25 | decreased by2 |
| Apr 1, 2026 | Clients | 13 | 9 | decreased by4 |
| Apr 1, 2026 | AUM | $3,747,757,758 | $4,627,271,602 | increased by$879,513,844 |
| Apr 1, 2026 | Accounts | 13 | 9 | decreased by4 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 153 | 27 | decreased by126 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 22 | 13 | decreased by9 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $26,687,115,000 | $3,747,757,758 | decreased by$22,939,357,242 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 22 | 13 | decreased by9 |
| Apr 1, 2022 | Employees | 155 | 153 | decreased by2 |
| Apr 1, 2022 | AUM | $25,697,075,466 | $26,687,115,000 | increased by$990,039,534 |
| Feb 1, 2022 | Employees | 142 | 155 | increased by13 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “CAXTON ASSOCIATES” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“CAXTON ASSOCIATES” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.