Octagon Asset Management, Llc
- Regulatory AUM
- $221M
- Discretionary
- $3.7M
- Clients
- 5
- Avg AUM / client
- $44.2M
- Accounts
- 5
- Employees
- 4
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 05, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 4 | $218M | 98.3% |
| Pooled investment vehicles (non-investment companies) | 1 | $3.7M | 1.66% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Feb 2024 · $5.5M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Octagon Global Trade Fund, Ltd master | Hedge Fund | Cayman Islands | $5.5M | 2 |
People (2)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Welles, Caldwell, Mead | Founder/Managing Partner | Dec 1998 (28y) | ≈ 56.25% – 100% via Octagon International Holdings, Llc | |
| Heyke, John, Ericson | Chief Compliance Officer | Dec 2016 (10y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Octagon International Holdings, Llc | Holding Company | Dec 1998 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Welles, Caldwell, Mead: 75% – 100% of Octagon International Holdings, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (1, $5.5M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Octagon Global Trade Fund, Ltd | Hedge Fund | $5.5M | $1.0M | 2 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/05/2026 | 1.11 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for pooled investment vehicles
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 05, 2026.
View current Form ADV (SEC/IAPD) ↗