OCTAGON CREDIT INVESTORS, LLC
Adviser information for OCTAGON CREDIT INVESTORS, LLC last updated from Form ADV on March 22nd, 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 | 86 |
|---|---|
| Investment Advisory/Research | 41 |
| Registered Broker-Dealer Representatives | 16 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 6 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 123 | $35.4B |
| Non-Discretionary | 1 | $35.7M |
| Total | 124 | $35.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | <5 | $959.0M |
| Investment companies | 1 | $545.5M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 67 | $30.6B |
| Pension and profit sharing plans | <5 | $917.8M |
| Charitable organizations | <5 | $67.8M |
| State or municipal gov entities | <5 | $206.3M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 46 | $1.9B |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $134.5M |
| Other | <5 | $103.1M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 60 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
250 PARK AVENUE15TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9AM - 5PM
Tel: 212-400-8400, Fax: 212-400-8401
Chief Compliance Officer
MARGARET ANNE JULIAN
250 PARK AVENUE
15TH FLOOR
NEW YORK
NY
United States
Tel:
212-400-8459
Fax:
917-464-2371
M******@****************M
(Full email address available in API data)
Regulatory Contact
XUAN ZHU
VICE PRESIDENT - COMPLIANCE
250 PARK AVENUE
15TH FLOOR
NEW YORK
NY
United States
Tel:
212-400-8463
C*********@****************M
(Full email address available in API data)
Industry Affiliates
| CATHAY SECURITIES INVESTMENT TRUST CO., LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| CONNING ASIA PACIFIC LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| CONNING ASSET MANAGEMENT LTD. (UK) | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| CONNING INVESTMENT PRODUCTS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| CONNING, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| GLOBAL EVOLUTION FONDSMAEGLERSELSKAB A/S | Other investment adviser, including financial planners |
| GLOBAL EVOLUTION MANCO SA | Other investment adviser, including financial planners |
| GLOBAL EVOLUTION USA, LLC | Other investment adviser, including financial planners |
| GOODWIN CAPITAL ADVISERS, INC. | Other investment adviser, including financial planners |
| OCTAGON CREDIT OPPORTUNITIES GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| OCTAGON FUNDS GP II LLC | Sponsor, GP, manager of pooled investment vehicles |
| OCTAGON FUNDS GP III LLC | Sponsor, GP, manager of pooled investment vehicles |
| OCTAGON FUNDS GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| PREP INVESTMENT ADVISERS, L.L.C. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| BANDERA STRATEGIC CREDIT PARTNERS II, LP | DELAWARE LP, LONG-ONLY CREDIT FUND | $809.6M | $0.1M | 2 |
| OCTAGON 51, LTD. | Securitized Asset Fund | $500.0M | $0.3M | 6 |
| OCTAGON 52, LTD. | Securitized Asset Fund | $547.7M | $0.3M | 1 |
| OCTAGON 53, LTD. | Securitized Asset Fund | $495.8M | $0.1M | 2 |
| OCTAGON 54, LTD. | Securitized Asset Fund | $495.1M | $0.1M | 2 |
| OCTAGON 55, LTD. | Securitized Asset Fund | $496.0M | $0.3M | 9 |
| OCTAGON 56, LTD. | Securitized Asset Fund | $497.4M | $0.3M | 2 |
| OCTAGON 57, LTD. | Securitized Asset Fund | $498.1M | $0.3M | 3 |
| OCTAGON 58, LTD. | Securitized Asset Fund | $602.0M | $0.1M | 7 |
| OCTAGON 59, LTD. | Securitized Asset Fund | $499.2M | $0.3M | 2 |
| OCTAGON 60, LTD. | Securitized Asset Fund | $501.0M | $0.3M | 3 |
| OCTAGON 61, LTD. | Securitized Asset Fund | $400.5M | $0.3M | 5 |
| OCTAGON 62, LTD. | Securitized Asset Fund | $500.5M | $0.3M | 2 |
| OCTAGON 63, LTD. [WAREHOUSE] | CLO WAREHOUSE | $111.3M | $2.8M | 2 |
| OCTAGON 64, LTD. | Securitized Asset Fund | $847.1M | $0.3M | 3 |
| OCTAGON 65, LTD. [WAREHOUSE] | CLO WAREHOUSE | $51.3M | $0.1M | 8 |
| OCTAGON 66, LTD. | Securitized Asset Fund | $551.5M | $0.3M | 2 |
| OCTAGON 67, LTD. | Securitized Asset Fund | $501.2M | $0.3M | 2 |
| OCTAGON 68, LTD. | Securitized Asset Fund | $499.0M | $0.3M | 2 |
| OCTAGON 70 ALTO, LTD. | Securitized Asset Fund | $448.6M | $0.3M | 6 |
| OCTAGON 71, LTD. [WAREHOUSE] | CLO WAREHOUSE | $159.9M | $2.0M | 2 |
| OCTAGON CLO INVESTMENT GRADE INCOME MASTER FUND, LTD. | LONG ONLY CREDIT FUND (CLO DEBT) | $71.3M | $1.0M | 11 |
| OCTAGON CLO OPPORTUNITY FUND IV MASTER LP | Private Equity Fund | $105.1M | $0.1M | 48 |
| OCTAGON CLO OPPORTUNITY FUND V MASTER LP | Private Equity Fund | $32.6M | $1.0M | 15 |
| OCTAGON CREDIT OPPORTUNITIES MASTER FUND LP | Hedge Fund | $96.1M | $1.0M | 56 |
| OCTAGON HIGH INCOME MASTER FUND LTD. | Hedge Fund | $163.0M | $1.0M | 78 |
| OCTAGON INVESTMENT PARTNERS 18-R, LTD. | Securitized Asset Fund | $680.2M | $0.3M | 6 |
| OCTAGON INVESTMENT PARTNERS 20-R, LTD. | Securitized Asset Fund | $485.1M | $0.3M | 6 |
| OCTAGON INVESTMENT PARTNERS 26, LTD. | Securitized Asset Fund | $489.8M | $0.3M | 3 |
| OCTAGON INVESTMENT PARTNERS 27, LTD. | Securitized Asset Fund | $490.0M | $0.3M | 2 |
| OCTAGON INVESTMENT PARTNERS 28, LTD. | Securitized Asset Fund | $687.8M | $0.3M | 2 |
| OCTAGON INVESTMENT PARTNERS 29, LTD. | Securitized Asset Fund | $468.3M | $0.3M | 3 |
| OCTAGON INVESTMENT PARTNERS 30, LTD. | Securitized Asset Fund | $564.1M | $0.3M | 5 |
| OCTAGON INVESTMENT PARTNERS 31, LTD. | Securitized Asset Fund | $492.4M | $0.1M | 5 |
| OCTAGON INVESTMENT PARTNERS 32, LTD. | Securitized Asset Fund | $455.8M | $0.3M | 6 |
| OCTAGON INVESTMENT PARTNERS 33, LTD. | Securitized Asset Fund | $475.3M | $0.3M | 7 |
| OCTAGON INVESTMENT PARTNERS 34, LTD. | Securitized Asset Fund | $433.9M | $0.3M | 5 |
| OCTAGON INVESTMENT PARTNERS 35, LTD. | Securitized Asset Fund | $479.7M | $0.3M | 4 |
| OCTAGON INVESTMENT PARTNERS 36, LTD. | Securitized Asset Fund | $487.1M | $0.3M | 2 |
| OCTAGON INVESTMENT PARTNERS 37, LTD. | Securitized Asset Fund | $584.7M | $0.3M | 7 |
| OCTAGON INVESTMENT PARTNERS 38, LTD. | Securitized Asset Fund | $634.5M | $0.1M | 3 |
| OCTAGON INVESTMENT PARTNERS 39, LTD. | Securitized Asset Fund | $592.3M | $0.1M | 8 |
| OCTAGON INVESTMENT PARTNERS 40, LTD. | Securitized Asset Fund | $590.2M | $0.1M | 3 |
| OCTAGON INVESTMENT PARTNERS 41, LTD. | Securitized Asset Fund | $494.0M | $0.3M | 1 |
| OCTAGON INVESTMENT PARTNERS 42, LTD. | Securitized Asset Fund | $496.1M | $0.1M | 1 |
| OCTAGON INVESTMENT PARTNERS 43, LTD. | Securitized Asset Fund | $498.4M | $0.3M | 4 |
| OCTAGON INVESTMENT PARTNERS 44, LTD. | Securitized Asset Fund | $491.8M | $0.1M | 2 |
| OCTAGON INVESTMENT PARTNERS 45, LTD. | Securitized Asset Fund | $642.6M | $0.1M | 6 |
| OCTAGON INVESTMENT PARTNERS 46, LTD. | Securitized Asset Fund | $492.4M | $0.1M | 6 |
| OCTAGON INVESTMENT PARTNERS 47, LTD | Securitized Asset Fund | $494.3M | $0.1M | 6 |
| OCTAGON INVESTMENT PARTNERS 48, LTD. | Securitized Asset Fund | $501.4M | $0.3M | 2 |
| OCTAGON INVESTMENT PARTNERS 49, LTD. | Securitized Asset Fund | $465.9M | $0.1M | 7 |
| OCTAGON INVESTMENT PARTNERS 50, LTD. | Securitized Asset Fund | $396.8M | $0.1M | 7 |
| OCTAGON INVESTMENT PARTNERS XIV, LTD. | Securitized Asset Fund | $582.6M | $0.1M | 4 |
| OCTAGON INVESTMENT PARTNERS XV, LTD. | Securitized Asset Fund | $459.2M | $0.3M | 2 |
| OCTAGON INVESTMENT PARTNERS XVI, LTD. | Securitized Asset Fund | $491.0M | $0.3M | 3 |
| OCTAGON INVESTMENT PARTNERS XVII, LTD. | Securitized Asset Fund | $378.8M | $0.3M | 4 |
| OCTAGON INVESTMENT PARTNERS XXI, LTD. | Securitized Asset Fund | $735.4M | $0.3M | 4 |
| OCTAGON INVESTMENT PARTNERS XXII, LTD. | Securitized Asset Fund | $645.1M | $0.3M | 5 |
| OCTAGON LOAN FUNDING 2014, LTD. | Securitized Asset Fund | $392.7M | $0.3M | 5 |
| OCTAGON PARTNERS CLO OPPORTUNITY MASTER FUND, LTD. | LONG-ONLY MULTI-STRATEGY CREDIT FUND | $136.5M | $0.5M | 33 |
| OCTAGON SENIOR SECURED CREDIT MASTER FUND LTD. | LONG-ONLY CREDIT FUND | $1,125.5M | $1.0M | 82 |
| OCTAGON STEPSTONE CLO FUND, LTD. | LONG ONLY FIXED INCOME ASSET BACKED | $112.1M | $1.0M | 5 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GORDON, ANDREW, DAVID | Individual | – | EXECUTIVE CHAIR, BOARD MEMBER | 01/2024 | < 5% |
| NECHAMKIN, MICHAEL, BENNETT | Individual | – | CIO, SR PORTFOLIO MANAGER, AND BOARD MEMBER | 12/2003 | < 5% |
| DUDZIK, JOHN, ANDREW | Individual | – | MANAGING DIRECTOR - BUSINESS & PRODUCT DEVELOPMENT | 04/2011 | < 5% |
| MOHR, GRETCHEN, MAE | Individual | – | CHIEF EXECUTIVE OFFICER, BOARD MEMBER | 01/2024 | < 5% |
| JULIAN, MARGARET, ANNE | Individual | – | CHIEF RISK OFFICER, CHIEF COMPLIANCE OFFICER | 01/2024 | < 5% |
| SEGA, RICHARD, LOUIS | Individual | – | BOARD MEMBER | 02/2016 | < 5% |
| CONNING & COMPANY | Domestic Entity | – | MEMBER | 02/2016 | > 75% |
| BRADFORD, LINWOOD, EARLE | Individual | – | CHAIRMAN / BOARD MEMBER | 02/2016 | < 5% |
| LEE, JUNG, WON | Individual | – | BOARD MEMBER | 02/2016 | < 5% |
| CONNING HOLDINGS CORP | Domestic Entity | CONNING & COMPANY | SHAREHOLDER | 02/2016 | > 75% |
| CONNING U.S. HOLDINGS, INC. | Domestic Entity | CONNING HOLDINGS CORP | SHAREHOLDER | 02/2016 | > 75% |
| CONNING HOLDINGS LIMITED | Foreign Entity | CONNING U.S. HOLDINGS, INC. | SHAREHOLDER | 02/2016 | > 75% |
| CATHAY LIFE INSURANCE CO., LTD | Foreign Entity | CONNING HOLDINGS LIMITED | SHAREHOLDER | 02/2016 | > 75% |
| CATHAY FINANCIAL HOLDING CO., LTD. | Foreign Entity | CATHAY LIFE INSURANCE CO., LTD. | SHAREHOLDER | 02/2016 | > 75% |
| DORMENT, GEOFFREY, CUNNIFF | Individual | – | GENERAL COUNSEL | 05/2017 | < 5% |
| LAW, LAUREN, KRISTEN | Individual | – | SENIOR PORTFOLIO MANAGER | 01/2024 | < 5% |
| Boger, Maegan, Gallagher | Individual | – | HEAD OF TRADING AND CAPITAL MARKETS, HEAD OF STRATEGIC INITIATIVES | 01/2024 | < 5% |
| GLEASON, SEAN, MICHAEL | Individual | – | PORTFOLIO MANAGER | 04/2020 | < 5% |
| HARTZBAND, MERYL, DEBORAH | Individual | – | BOARD MEMBER | 10/2021 | < 5% |
| Adar, Amy, Semiha | Individual | – | CHIEF FINANCIAL OFFICER | 01/2023 | < 5% |
| MCDERMOTT, DOUGLAS, JOHN | Individual | – | CHIEF OPERATING OFFICER, HEAD OF INVESTOR SOLUTIONS | 01/2024 | < 5% |