SourcingSourcing

OCTAGON ASSET MANAGEMENT, LLC

C44
CRD 286248·SEC 801-110412·CHARLOTTE, NC
AUM
$221.2M
$100M-$500M
Est. Revenue
$2.2M
@ 1% on AUM
Est. EBITDA
$664K
@ 30% margin
Est. Deal Value
$5.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
OCTAGON ASSET MANAGEMENT, LLC
CRD
286248
SEC file #
801-110412
EIN
—
DBA names
—

Economics

AUM
$221.2M
AUM band
$100M-$500M
AUM trajectory
'20'26
$38.2M → $221.2M▲ +479%
Client mix
Investment Companies4
Pooled Investment Vehicles1

Operations

Employees (total)
4
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
3 advisors → 3 advisors▬ 0%
Primary office
CHARLOTTE NC
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — pooled vehicles
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/05/2026
ADV-W filed at
—
Website
octagonam.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
OCTAGON INTERNATIONAL HOLDINGS,
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
3
Control Persons
OCTAGON INTERNATIONAL HOLDINGS,
WELLES, CALDWELL, MEAD
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
OCTAGONAM.COM
Rdap Domain Creation Date
2014-01-22T16:08:18Z
Rdap Firm Age Years
12
Rdap Firm Age Band
10-20y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (13)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
E*trade4
Firm Has Custody
No
Mailing Office Differs
Yes
Rdap Domain Expiration Date
2026-07-01T11:59:59Z
Rdap Domain Last Changed
2024-07-02T16:15:45Z
Rdap Nameservers
Ns43.domaincontrol.comNs44.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Trust Company Affiliate
No

People (2)

2
WELLES, CALDWELL, MEAD
Executive Officer · 2.5%
2137334
HEYKE, JOHN, ERICSON
Executive Officer · 2.5%
2450178