OCTAGON ASSET MANAGEMENT, LLC
Adviser information for OCTAGON ASSET MANAGEMENT, LLC last updated from Form ADV on February 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $3.3M |
| Non-Discretionary | 4 | $176.5M |
| Total | 5 | $179.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 4 | $176.5M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $3.3M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-110412 |
|---|---|
| SEC ERA File Number | 801-110412 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 286248 |
| Legal Entity Identifier | None |
Principal Office
615 S COLLEGE STREETCHARLOTTE
NC
United States
Monday - Friday, 9AM TO 6PM
Tel: 212 683-8811, Fax: 212 683 8813
Websites
Chief Compliance Officer
JOHN ERICSON HEYKE IV
615 S.COLLEGE STREET
CHARLOTTE
NC
United States
Tel:
212 683 8811
E*********@************M
(Full email address available in API data)
Regulatory Contact
CALDWELL MEAD WELLES
MANAGING PARTNER
615 S. COLLEGE STREET
CHARLOTTE
NC
United States
Tel:
212 683 8811
M**********@************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| OCTAGON GLOBAL TRADE FUND, LTD | Hedge Fund | $5.5M | $1.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WELLES, CALDWELL, MEAD | Individual | – | FOUNDER/MANAGING PARTNER | 12/1998 | < 5% |
| HEYKE, JOHN, ERICSON | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2016 | < 5% |
| OCTAGON INTERNATIONAL HOLDINGS, LLC | Domestic Entity | – | HOLDING COMPANY | 12/1998 | > 75% |
| WELLES, CALDWELL, MEAD | Individual | OCTAGON INTERNATIONAL HOLDINGS, LLC | OWNER | 12/1998 | > 75% |