TITAN GLOBAL CAPITAL MANAGEMENT USA LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 290111). Regulatory assets under management: $1.1B.
Compensation: % of AUM.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Clayton Gardner | BOARD MANAGER; SHAREHOLDER (VOTING COMMON); CO-CEO AND CO-FOUNDER; SHAREHOLDER (VOTING COMMON) | New York, NY |
| Joseph John Percoco | BOARD MANAGER; SHAREHOLDER (VOTING COMMON); CO-CEO AND CO-FOUNDER; SHAREHOLDER (VOTING COMMON) | — |
| Sara Egide | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | — |
| SLATE HEATHER NICOLE | CHIEF COMPLIANCE OFFICER | — |
| PERCOCO JOSEPH JOHN | CHIEF COMPLIANCE OFFICER, PRESIDENT AND SECRETARY; CO-CEO AND CO-FOUNDER; SHAREHOLDER (VOTING COMMON) | — |
| GARDNER CLAYTON | CO-CEO AND CO-FOUNDER; PRESIDENT AND CFO; SHAREHOLDER (VOTING COMMON) | — |
| Bernardy Maxwell | CO-FOUNDER AND CHIEF TECHNOLOGY OFFICER | — |
| AMADIA ALLISON | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | — |
| Egide Sara | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-08-21 | regulatory | THE SEC ORDER PRIMARILY COVERS CERTAIN LEGACY MARKETING AND DISCLOSURE ISSUES INVOLVING TITAN'S CRYPTOCURRENCY STRATEGY BETWEEN AUGUST 2021 AND OCTOBER 2022. THE SEC ORDER STATES THAT TITAN DID NOT IMPLEMENT POLICIES AND PROCEDURES THAT WERE REASONABLY DESIGNED TO COMPLY WITH MARKETING REGULATIONS A… | Final | $850K |