OFS
OCTAGON FINANCIAL SERVICES INC Legal Name
Adviser information for OFS 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | District of Columbia, United States |
Employees
| Total Number of Employees | 23 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,728 | $1.1B |
| Non-Discretionary | 551 | $116.2M |
| Total | 2,279 | $1.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 215 | $49.3M |
| HNW Individuals | 141 | $1.1B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| 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 | 63 | $8.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 17 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Principal Office
7950 JONES BRANCH DRIVESUITE 700N
MCLEAN
VA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: (703) 905-3300, Fax: (703) 905-4495
Chief Compliance Officer
PAUL HAASE
GENERAL COUNSEL
7950 JONES BRANCH DRIVE
SUITE 700N
MCLEAN
VA
United States
Tel:
(703) 905-3300
Fax:
(703) 905-4495
P*********@**********M
(Full email address available in API data)
Regulatory Contact
FRANK M. ZECCA
PRESIDENT
7950 JONES BRANCH DRIVE
SUITE 700N
MCLEAN
VA
United States
Tel:
(703) 905-3300
Fax:
703-905-4495
F**********@************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| OCTAGON, INC. | Domestic Entity | – | OWNER OF APPLICANT | 01/1986 | > 75% |
| ZECCA, FRANK, MATTHEW | Individual | – | PRESIDENT | 05/2013 | < 5% |
| INTERPUBLIC GROUP OF COMPANIES, INC. | Domestic Entity | OCTAGON, INC. | OWNER | 05/1997 | > 75% |
| MARSH, GEOFFREY, DOUGLAS | Individual | – | TREASURER | 05/2013 | < 5% |
| VU, NANCY | Individual | – | SECRETARY | 05/2013 | < 5% |
| HAASE, PAUL | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2014 | < 5% |
| LEGG, CHRISTOPHER, JOHN | Individual | – | VICE PRESIDENT | 05/2013 | < 5% |
| PHILBIN, AUSTIN, J | Individual | – | CHIEF OPERATING OFFICER | 08/2023 | < 5% |