Octagon Asset Management, LLC

RIASEC RegisteredEst. 2017
Total AUM
$221M
Discretionary
$3.7M
2% of AUM
Avg account
$44.2M
Accounts
5
Employees
4
Advisory reps
2

Firm details

Headquarters
Charlotte, North Carolina
CRD number
286248
Registered since
April 17, 2017
Fee structure
Percentage of AUM, Performance Based Fees
Client types
  • Investment Companies98.34%
  • Pooled Investment Vehicles1.66%
Services
Portfolio Management for Pooled Investment Vehicles

Firm profile

FINTRX

Overview

Octagon Asset Management, LLC is a privately held limited liability company that registers with the SEC as a hedge fund adviser and lists institutional clients as its primary base. The firm provides portfolio management for pooled investment vehicles and charges a combination of asset-based fees and performance fees. It is organized as a domestic entity with individual ownership involvement and has been SEC-registered since 2017. Octagon does not present itself as an ESG-focused manager, is not registered as a multi-state adviser, and does not identify as a capital allocator or pension consultant in its filings.

Assets & Accounts

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

2 of 2
  • Caldwell Welles

    President and CEOCRD 2137334

  • John Heyke

    John Heyke

    Chief Compliance OfficerCRD 2450178

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

Charlotte, NC

Mecklenburg

Location

Charlotte, NC

Headquartered in Charlotte, NC, anchoring the Charlotte-Concord, NC-SC metro in the South.

Metro area
Charlotte-Concord, NC-SC
Region
South
County
Mecklenburg
Address
615 S College St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth