{ "crd_number": 137140, "slug": "triaxx-asset-management-llc-new-york-ny-137140", "primary_business_name": "TRIAXX ASSET MANAGEMENT LLC", "legal_name": "TRIAXX ASSET MANAGEMENT LLC", "dbas": [], "city": "New York", "state": "NY", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2006-01-26", "years_registered": 20, "period": "2026-10-01", "filing_date": "2026-03-31", "carried_forward": false, "raum_total": 26096080.0, "raum_discretionary": 26096080.0, "raum_non_discretionary": 0.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 1, "advisory_employees": 1, "client_count_bucket": null, "clients_by_type": { "pooled_investment_vehicles": { "raum": 26096080.0, "count": 3 } }, "compensation_types": [ "other" ], "advisory_activities": [ "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 4, "states_registered": [], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/137140", "disclosure_items": [ { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" }, { "item": "11.H(1)(b)", "question": "Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?" } ], "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/triaxx-asset-management-llc-new-york-ny-137140", "display_name": "Triaxx Asset Management LLC", "summary": "Triaxx Asset Management LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2006, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.", "citation": "AdvisorCensus. Triaxx Asset Management LLC (CRD 137140): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "Other" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)" ], "quick_answers": [ { "q": "How is Triaxx Asset Management LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Triaxx Asset Management LLC reports these compensation arrangements: other." }, { "q": "Where is Triaxx Asset Management LLC located?", "a": "Triaxx Asset Management LLC's principal office is in New York, NY, according to its Form ADV." }, { "q": "Is Triaxx Asset Management LLC registered with the SEC or a state?", "a": "Triaxx Asset Management LLC is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 137140." }, { "q": "How much does Triaxx Asset Management LLC manage?", "a": "Triaxx Asset Management LLC reports $26,096,080 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary)." }, { "q": "How have Triaxx Asset Management LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Triaxx Asset Management LLC: Regulatory assets under management: $96,930,157 in the October 2021 data and $26,096,080 in the October 2026 data, down 73%. Total employees: 3 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Triaxx Asset Management LLC serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (3)." }, { "q": "Does Triaxx Asset Management LLC report any disciplinary disclosures?", "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), and 11.H(1)(b) (court finding of a violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/137140" }, { "q": "Does Triaxx Asset Management LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated March 31, 2026 says: \"TAM does not impose any minimum requirements on the Funds. The Funds, however, are not taking on new investors.\"" } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 96930157.0, "total_employees": 3, "filing_date": "2021-03-31" }, { "period": "2022-10-01", "regulatory_assets_under_management": 56111602.0, "total_employees": 3, "filing_date": "2022-03-28" }, { "period": "2023-10-01", "regulatory_assets_under_management": 51340099.0, "total_employees": 1, "filing_date": "2023-03-22" }, { "period": "2024-10-01", "regulatory_assets_under_management": 45345994.0, "total_employees": 1, "filing_date": "2024-03-21" }, { "period": "2025-10-01", "regulatory_assets_under_management": 27300000.0, "total_employees": 1, "filing_date": "2025-07-18" }, { "period": "2026-10-01", "regulatory_assets_under_management": 26096080.0, "total_employees": 1, "filing_date": "2026-03-31" } ], "recent_changes": [], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 31, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "None", "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "planning_fees": [], "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: None" ], "quotes": [ "TAM does not impose any minimum requirements on the Funds. The Funds, however, are not taking on new investors." ] } ], "values": { "tiers": [], "range_pct": null, "max_pct": null, "account_minimum": 0.0, "minimum_annual_fee": null, "planning": [] }, "quotes": [ "TAM does not impose any minimum requirements on the Funds. The Funds, however, are not taking on new investors." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/triaxx-asset-management-llc-new-york-ny-137140.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 3, "fewer_than_5": false, "raum": 26096080.0 } ], "disclosure_line": "Reports 4 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/137140", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }