# CAXTON ASSOCIATES (USA) LLC

CAXTON ASSOCIATES (USA) LLC of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 132823
- Type: SEC-registered investment adviser
- SEC file number: 801-63731
- Location: 280 PARK AVENUE, NEW YORK, NY, 10017
- Phone: 212-593-7700
- Latest filing: 2026-09-18
- Regulatory AUM: $4.6B
- Discretionary AUM: $4.6B
- Clients: 25
- Accounts: 9

## Business model

- Compensation: % of AUM, Performance, Other
- Clients served: Investment cos

## Officers, owners & control persons (43)

_Showing 25 of 43 people._

| Name | Role | Location |
| --- | --- | --- |
| [Matthew Duncan Wade](https://search.stillhousedata.com/person/685612) | CHIEF OPERATING OFFICER, CHIEF RISK OFFICER AND MANAGER | — |
| [Efstathios Metsovitis](https://search.stillhousedata.com/person/685614) | MANAGER | — |
| [Benjamin Stephan Ohly](https://search.stillhousedata.com/person/685615) | CHIEF COMPLIANCE OFFICER | London, X0 |
| [Alexander Michael Underwood](https://search.stillhousedata.com/person/685616) | GENERAL COUNSEL; GENERAL COUNSEL AND MANAGER | — |
| [Chanelle Lorraine Nicholls](https://search.stillhousedata.com/person/685617) | CHIEF FINANCIAL OFFICER | — |
| [Andrew Eric Law](https://search.stillhousedata.com/person/685618) | CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER | — |
| [Felix Schiesari Turton](https://search.stillhousedata.com/person/693809) | MANAGER | — |
| [MEHRA AJAY](https://search.stillhousedata.com/person/730871) | CHIEF COMPLIANCE OFFICER; DEPUTY GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | — |
| [KOVNER BRUCE STANLEY](https://search.stillhousedata.com/person/741044) | CHAIRMAN; CHAIRMAN & CHIEF EXECUTIVE OFFICER; SOLE SHAREHOLDER | — |
| [DANGELO PETER PAUL](https://search.stillhousedata.com/person/741045) | PRESIDENT; PRESIDENT & LIMITED PARTNER | — |
| [FORBES JOHN GEORGE](https://search.stillhousedata.com/person/741046) | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER & CHIEF OPERATING OFFICER; MANAGER | — |
| [BERNSTEIN SCOTT BENNETT](https://search.stillhousedata.com/person/741047) | GENERAL COUNSEL & SECRETARY; GENERAL COUNSEL & SECRETARY & CHIEF COMPLIANCE OFFICER; MANAGER (+4 more) | — |
| [SAPERSTEIN ROBERT ANDREW](https://search.stillhousedata.com/person/741048) | CHIEF COMPLIANCE OFFICER | — |
| [UNDERWOOD ETHAN MICHAEL](https://search.stillhousedata.com/person/753772) | GENERAL COUNSEL | — |
| [LAW ANDREW ERIC](https://search.stillhousedata.com/person/791086) | CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER; CHIEF INVESTMENT OFFICER; CHIEF INVESTMENT OFFICER & LIMITED PARTNER (+2 more) | — |
| [ANDERSON SIMON](https://search.stillhousedata.com/person/800026) | CHIEF FINANCIAL OFFICER; MANAGER | — |
| [FEUERMAN KURT ANDREW](https://search.stillhousedata.com/person/800243) | SENIOR MANAGING DIRECTOR; SENIOR MANAGING DIRECTOR & LIMITED PARTNER | — |
| [SHAW DAREN JAMES](https://search.stillhousedata.com/person/805884) | CHIEF ADMINISTRATIVE OFFICER AND CHIEF COMPLIANCE OFFICER; MANAGER | — |
| [OSWALD JENNIFER MARGARET ANNE](https://search.stillhousedata.com/person/828916) | MANAGER | — |
| [WADE MATTHEW DUNCAN](https://search.stillhousedata.com/person/831665) | CHIEF OPERATING OFFICER AND CHIEF RISK OFFICER; CHIEF OPERATING OFFICER, CHIEF RISK OFFICER AND LIMITED PARTNER; MANAGER | — |
| [CROWLEY HELEN ANNE](https://search.stillhousedata.com/person/844047) | MANAGER | — |
| [MOSKATEL JEFFREY](https://search.stillhousedata.com/person/853185) | CHIEF COMPLIANCE OFFICER | — |
| [TOWERS KEN](https://search.stillhousedata.com/person/856595) | GENERAL COUNSEL; MANAGER | — |
| [LLOYD RHIAN](https://search.stillhousedata.com/person/857752) | GENERAL COUNSEL; MANAGER | — |
| [NEWBOLD NATASHA](https://search.stillhousedata.com/person/861373) | CHIEF COMPLIANCE OFFICER | — |


## Disclosures (6)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2017-07-20 | regulatory | IN MAY OF 2014, CAXTON INTERNATION LIMITED SUBSCRIBED FOR A TOTAL OF 16,000,000 SHARES OF A SECONDARY OFFERING OF THE NATIONAL BANK OF GREECE SA, A GREEK LISTED ISSUER ("NBG"). THE TRADE DATE FOR THIS TRANSACTION WAS MAY 5, 2014, WITH A SETTLEMENT DATE OF MAY 19, 2014, AND THE NBG SHARES STARTED TRA… | On Appeal | $113K |
| 2017-07-20 | regulatory | ON 5 MAY 2014, CAXTON INTERNATIONAL LIMITED SUBSCRIBED FOR A TOTAL OF 16,000,000 SHARES OF A SECONDARY OFFERING OF THE NATIONAL BANK OF GREECE SA, A GREEK LISTED ISSUER ("NBG"). THE TRADE DATE FOR THIS TRANSACTION WAS MAY 5, 2014, WITH A SETTLEMENT DATE OF MAY 19, 2014, AND THE NBG SHARES STARTED TR… | Final | $113K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/132823/brochure
- Similar advisers: https://search.stillhousedata.com/firm/132823/similar
- Related entities: https://search.stillhousedata.com/firm/132823/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/132823

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.