OCTAGON FINANCE LLC
Adviser information for OCTAGON FINANCE LLC last updated from Form ADV on March 28th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 5 |
| 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 | 5 | $259.9M |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $259.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 5 | $259.9M |
| 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 | 20 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based feesLOAN FEES |
Identifiers
| SEC RIA File Number | 801-112264 |
|---|---|
| SEC ERA File Number | 801-112264 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 289850 |
| Legal Entity Identifier | None |
Principal Office
126 GARRETT STREETSUITE G
CHARLOTTESVILLE
VA
United States
Monday - Friday, 9AM-5PM
Tel: 434-977-7770, Fax: None
Websites
Chief Compliance Officer
ASHLEY SMITH
CFO
126 GARRETT STREET
SUITE G
CHARLOTTESVILLE
VA
United States
Tel:
(434) 977-7770
A*****@*****************M
(Full email address available in API data)
Regulatory Contact
JOHN WILLIAMSON
126 GARRETT STREET
SUITE G
CHARLOTTESVILLE
VA
United States
Tel:
(434) 977-7770
J*@*****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| OCP CCOF LLC | Hedge Fund | $68.9M | $0.0M | 3 |
| OCTAGON CREDIT PARTNERS LP | Hedge Fund | $214.0M | $5.0M | 80 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PISTOLS, LLC | Domestic Entity | SQUIGGLY, LLC | MEMBER | 05/2011 | 25-50% |
| Williamson, John, P. | Individual | – | MEMBER / CHIEF EXECUTIVE OFFICER / CHIEF INVESTMENT OFFICER | 05/2011 | < 5% |
| Cohen, Rolando | Individual | SC CAPITAL ADVISORS, LLC | MEMBER | 05/2018 | > 75% |
| Holt, Stephen | Individual | PISTOLS, LLC | MEMBER | 05/2011 | > 75% |
| Ashley, Smith | Individual | – | CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER | 09/2017 | < 5% |
| SC CAPITAL ADVISORS, LLC | Domestic Entity | SQUIGGLY, LLC | MEMBER | 05/2018 | > 75% |
| OCTAGON OWNER LLC | Domestic Entity | – | MEMBER | 10/2021 | > 75% |
| OCTAGON FINANCE HOLDINGS LLC | Domestic Entity | – | MEMBER | 10/2021 | 5-10% |
| OCTAGON REALTY CAPITAL, LLC | Domestic Entity | OCTAGON OWNER LLC | MEMBER | 10/2021 | > 75% |
| Ashley, Smith | Individual | OCTAGON FINANCE HOLDINGS LLC | OWNER | 10/2021 | 25-50% |
| SQUIGGLY, LLC | Domestic Entity | OCTAGON OWNER LLC | OWNER | 10/2021 | 25-50% |
| KORE, EHUD | Individual | OCTAGON REALTY CAPITAL, LLC | OWNER | 10/2021 | 25-50% |
| SCIOSCIA, STEPHEN | Individual | OCTAGON REALTY CAPITAL, LLC | OWNER | 10/2021 | 25-50% |
| EWING, HUGH | Individual | OCTAGON FINANCE HOLDINGS LLC | OWNER | 10/2021 | 25-50% |
| EWING, HUGH | Individual | – | CHIEF OPERATING OFFICER | 09/2017 | < 5% |