Octagon Asset Management, LLC
● SEC registered since 2017CRD 286248SEC# 801-110412Charlotte, NC
Ranks #4,998 of 6,004 private fund managers by regulatory AUM.
Reg. AUM
$221.2M
Fund GAV
$5.5M
Private funds
1
Employees
4
Accounts
5
Location
Charlotte, NC
Octagon Asset Management, LLC assets under management
Octagon Asset Management, LLC is an SEC-registered investment adviser based in Charlotte, NC. The firm has been registered since 2017. It reports $221.2 million in regulatory assets under management and employs 4 people. Octagon Asset Management, LLC manages 1 private fund with combined gross assets of $5.5 million, including Octagon Global Trade Fund, Ltd. By regulatory assets, it ranks 4,998 of 6,004 private fund managers.
Octagon Asset Management, LLC private funds
1 funds · $5.5M GAV| Fund | Type | Gross assets | Min. |
|---|---|---|---|
| Octagon Global Trade Fund, Ltd | Hedge | $5.5M | $1M |
Octagon Asset Management, LLC owners & executives
4 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Caldwell Mead Welles Control | Founder/Managing Partner | Under 5% | 1998 |
| John Ericson Heyke | Chief Compliance Officer | Under 5% | 2016 |
| Octagon International Holdings, LLC Control | Holding Company | Over 75% | 1998 |
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Join to unlock · $37/moFrequently asked questions
How much does Octagon Asset Management, LLC manage?
Octagon Asset Management, LLC reports $221.2 million in regulatory assets under management on its Form ADV.
How many private funds does Octagon Asset Management, LLC manage?
Octagon Asset Management, LLC manages 1 private funds with combined gross assets of $5.5 million.
How many employees does Octagon Asset Management, LLC have?
Octagon Asset Management, LLC reports 4 employees.
Where is Octagon Asset Management, LLC located?
Octagon Asset Management, LLC is based in Charlotte, NC and has been SEC-registered since 2017.
Does Octagon Asset Management, LLC disclose fund performance?
Octagon Asset Management, LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 615 S College Street, Charlotte, NC 28202-3354 |
| Phone | 212 683-8811 |
| Fax | 212 683 8813 |
| Office hours | 9a.m. To 6p.m. |
| SEC region | Atlanta Regional Office (ARO) |
| Discloses disciplinary history | No |
Regulatory AUM
$221.2M▲ 15%
Mar '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 72%
Larger than 28% of 16,271 advisers
AUM vs fund managersTop 83%
Larger than 17% of 6,004 private-fund managers
Number of fundsTop 76%
More funds than 24% of fund managers
EmployeesTop 69%
More than 31% of 16,825 advisers
Assets under management
$221.2Mregulatory AUM
Discretionary $3.7MNon-discretionary $217.5M
Service providers
Administrator