{"url":"https://nivawealth.com/firms/caxton-associates-333153","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/333153","regulatoryAum":71557546999,"crd":"333153","secFileNumber":"801-136549","legalName":"Caxton Associates LLP","displayName":"Caxton Associates","website":"https://www.caxton.com","linkedinUrl":"https://www.linkedin.com/company/caxton-associates","founded":null,"organization":"limited liability partnership organized in United Kingdom","fiscalYearEnd":"March","headquarters":{"street":"20 Carlton House Terrace, 2nd Floor","city":"London","state":"","stateName":"","country":"United Kingdom","postalCode":"SW1Y 5AN"},"tradeNames":[],"registration":{"secApproved":"23 June 2026","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":130,"advisory":55,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":71557546999,"discretionaryAccounts":19,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":80,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":19,"regulatoryAum":64285679706},{"label":"Other","clients":null,"regulatoryAum":7271867293}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Citigroup Global Markets Inc","shortName":"Citigroup Global Markets","location":"New York, NY","smaAssets":1216004978}],"custodyNote":"Caxton Associates has custody of $64.29B for 18 clients.","otherCustodians":[],"leadership":[{"name":"Andrew Law","title":"Chairman, Chief Executive Officer and Limited Partner","crd":"2961858"},{"name":"Chanelle Nicholls","title":"Chief Financial Officer","crd":"7353703"},{"name":"Matthew Wade","title":"Chief Operating Officer, Chief Risk Officer and Limited Partner","crd":"6468257"},{"name":"Benjamin Ohly","title":"Chief Compliance Officer","crd":"6421218"},{"name":"Alexander Underwood","title":"General Counsel","crd":"7518658"}],"ownership":[{"label":"Andrew Law","detail":"Chairman, chief executive officer and limited partner in the 50% to 75% ownership band and a control person, since January 2025."},{"label":"Matthew Wade","detail":"Chief operating officer, chief risk officer and limited partner in the 5% to 10% ownership band and a control person, since January 2025."},{"label":"Cook Holdings Series LLC","detail":"Limited partner in the 10% to 25% ownership band and a control person, since January 2025."},{"label":"PHP De 1 LP","detail":"Indirect owner: a member of Cook Holdings Series LLC in the 50% to 75% band and a control person, since January 2024.","parent":"Cook Holdings Series LLC"},{"label":"Petershill Partners, Inc","detail":"Indirect owner: a sole shareholder of PHP De 1 LP in the 75% or more band and a control person, since January 2024.","parent":"PHP De 1 LP"},{"label":"Petershill Partners Limited","detail":"Indirect owner: a majority shareholder of G-Petershill LP in the 75% or more band and a control person, since September 2021.","parent":"G-Petershill LP"},{"label":"Jason Gerlis","detail":"Indirect owner: manager of Cook Holdings Series LLC and a control person, since July 2022.","parent":"Cook Holdings Series LLC"},{"label":"Laura Redman","detail":"Indirect owner: manager of Cook Holdings Series LLC and a control person, since December 2022.","parent":"Cook Holdings Series LLC"},{"label":"Tavin Holman","detail":"Indirect owner: manager of Cook Holdings Series LLC and a control person, since January 2023.","parent":"Cook Holdings Series LLC"},{"label":"Kendra Foster","detail":"Indirect owner: manager of Cook Holdings Series LLC and a control person, since July 2023.","parent":"Cook Holdings Series LLC"},{"label":"Anthony Mirabile","detail":"Indirect owner: manager of Cook Holdings Series LLC and a control person, since June 2023.","parent":"Cook Holdings Series LLC"},{"label":"G-Petershill LP","detail":"Indirect owner: a sole shareholder of Petershill Partners, Inc in the 75% or more band and a control person, since December 2025.","parent":"Petershill Partners, Inc"},{"label":"PH Pe Im Aggregator LP","detail":"Indirect owner: a shareholder of Petershill Partners Limited in the 25% to 50% band and a control person, since December 2025.","parent":"Petershill Partners Limited"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"442076470770","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Other"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":7},{"label":"U.S. government/agency bonds","percent":41},{"label":"Derivatives","percent":15},{"label":"Other","percent":37,"detail":"Collateral Posted, Repo Financing, Cash Due to / From Brokers, Interest, Expense and Fee Accruals"}],"privateFunds":5},"sources":{"adv1FilingDate":"18 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/333153/PDF/333153.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Caxton Associates have?","answer":"Caxton Associates has 19 clients and manages $71.6 billion for them, as of September 2026.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 18 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Caxton Associates offer?","answer":"Caxton Associates provides portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Caxton Associates use?","answer":"Caxton Associates’ separately managed account assets are held at Citigroup Global Markets Inc (New York, NY), with $1,216,004,978. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 18 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Caxton Associates have?","answer":"Caxton Associates has 0 investment adviser representatives registered with state securities authorities, out of 130 employees, and 55 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Caxton Associates invest in?","answer":"At the end of its last fiscal year, Caxton Associates’ separately managed accounts held 41% U.S. government and agency bonds, 37% collateral posted, repo financing, cash due to / from brokers, interest, expense and fee accruals, 15% derivatives and 7% exchange-traded equities. It advises 5 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Caxton Associates?","answer":"Caxton Associates is owned through a chain of holding companies by PH Pe Im Aggregator LP. Its direct owners are Andrew Law (50% to 75%), Matthew Wade (5% to 10%) and Cook Holdings Series LLC (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 18 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Caxton Associates get paid?","answer":"Caxton Associates is paid through a percentage of assets under management and other arrangements. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}