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CAXTON ASSOCIATES (USA) LLC

NEW YORK, NY · CRD 132823 · IAPD ↗ · caxton.com · 212-593-7700

$4.63BRegulatory AUM
12Advisory reps
25Employees
0Clients
n/aPlanning clients
0Private funds
1States
2Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

35
February 2025 — CAXTON ASSOCIATES (USA) LLC filed an Item 4A succession naming CAXTON ASSOCIATES LP (CRD 132823) — an entity change, not a deal.
Item 4A succession where the acquired firm is the same business (entity change, not a deal).
Integration & migration consultingCompliance
40
February 2025 — CAXTON ASSOCIATES (USA) LLC reported RAUM down 84% ($25.58B -> $4.18B).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
45
February 2025 — CAXTON ASSOCIATES (USA) LLC shrank from 62 to 12 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
50
February 2025 — CAXTON ASSOCIATES LP is now doing business as CAXTON ASSOCIATES (USA) LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
66
April 2024 — CAXTON ASSOCIATES LP grew from 51 to 62 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.