AdvisorCensus / Financial advisors / Caxton Associates LLP
Caxton Associates LLP is an SEC-registered investment advisory firm in London, United Kingdom, registered since 2026, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated September 18, 2026.
Quick answers
From the filingHow is Caxton Associates LLP compensated?
On its Form ADV (Item 5.E, October 2026), Caxton Associates LLP reports these compensation arrangements: a percentage of assets under its management; other.
How much does Caxton Associates LLP charge?
Its Form ADV Part 2A brochure dated May 21, 2026 states: Asset-based fee: up to 2.4% of assets a year (the maximum the brochure states). Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Caxton Associates LLP located?
Caxton Associates LLP's principal office is in London, United Kingdom, according to its Form ADV.
Is Caxton Associates LLP registered with the SEC or a state?
Caxton Associates LLP is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 333153.
How much does Caxton Associates LLP manage?
Caxton Associates LLP reports $71,557,546,999 in regulatory assets under management in its Form ADV filing dated September 18, 2026 (100% discretionary).
What types of clients does Caxton Associates LLP serve?
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (19).
Which custodians does Caxton Associates LLP use?
Caxton Associates LLP's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Citigroup Global Markets Inc as a custodian holding 10% or more of its separately managed account assets.
Does Caxton Associates LLP report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/333153
What changed in Caxton Associates LLP's recent Form ADV filings?
In the June 2026 filing data: Updated its list of owners and control persons (Schedule A).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Other
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAsset-based fee: up to 2.4% of assets a year (the maximum the brochure states)
The brochure's wording
With respect to the Caxton Master Fund Clients and their feeder funds, the annual management fees are up to 2.4% of assets under management.
As stated in the firm's Form ADV Part 2A brochure dated May 21, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$71,557,546,999 as of October 2026, filing dated September 18, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for pooled investment vehicles (other than investment companies)
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2026 (0 years)
- Employees
- Total: 130. Performing investment advisory functions: 55.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- States registered or notice-filed
-
1 state or jurisdiction
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $71,557,546,999 | 130 | September 18, 2026 |
| October 2025 | Not reported | Not reported | June 30, 2025 |
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- June 2026
- Updated its list of owners and control persons (Schedule A).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Caxton Associates LLP (CRD 333153): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/caxton-associates-llp-london-333153