TRIAXX ASSET MANAGEMENT LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 137140). Regulatory assets under management: $26.1M.
Compensation: Other.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Vishal Garg | MEMBER | New York, NY |
| Nicholas Calamari | MEMBER | New York, NY |
| Jason Hunt Berland | CHIEF COMPLIANCE OFFICER | — |
| Matthew Maron | CHIEF COMPLIANCE OFFICER | — |
| PRIORE THOMAS CHARLES | 100% OWNER; CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER (+1 more) | — |
| GAUDET PETER WILLIAM | CHIEF COMPLIANCE OFFICER; MANAGING DIRECTOR | — |
| VECCHIO JOHN A | CCO / COO; CHIEF OPERATING OFFICER; CHIEF OPERATING OFFIER / CHIEF COMPLIANCE OFFICER | — |
| BIBKO KENNETH CHRISTOPHER | CHIEF COMPLIANCE OFFICER | — |
| GARG VISHAL | MEMBER | — |
| CALAMARI NICHOLAS | CHIEF COMPLIANCE OFFICER; MEMBER | — |
| TOKAR RANDY | CHIEF FINANCIAL OFFICER; PRESIDENT, CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER | — |
| MARON MATTHEW | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2011-06-21 | regulatory | IT WAS ALLEGED THAT THE FIRM VIOLATED SECTION 17(A) OF THE SECURITIES ACT OF 1933, AS AMENDED; SECTIONS 10(B) AND 15(C)(1)(A) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED (THE "EXCHANGE ACT"); RULES 10B-3 AND 10B-5 UNDER THE EXCHANGE ACT; SECTIONS 206(1), (2), (3), AND (4) OF THE ADVISERS ACT;… | Final | — |
| 2011-06-21 | civil | IT WAS ALLEGED THAT THE FIRM VIOLATED SECTION 17(A) OF THE SECURITIES ACT OF 1933, AS AMENDED; SECTIONS 10(B) AND 15(C)(1)(A) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED (THE "EXCHANGE ACT"); RULES 10B-3 AND 10B-5 UNDER THE EXCHANGE ACT; SECTIONS 206(1), (2), (3), AND (4) OF THE ADVISERS ACT;… | Final | — |