OCTAGON ASSET MANAGEMENT, LLC
CRD #138318 SEC #801-66090 NEW YORK, NY 212-683-8811
SEC Registered
Total AUM
$22M
Discretionary
$22M
Employees
5
Clients
--
Accounts
12
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- New York
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 6, 2010
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ADAMS, SAMUEL, WOODHULL | I | CHIEF LEGAL OFFICER | NA | Control |
| HEYKE, JOHN, ERICSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HEYKE, JOHN, ERICSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| WELLES, CALDWELL, MEAD | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WELLES, CALDWELL, MEAD | I | PRESIDENT | NA | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF OPERATIONS OFFICER | NA | Control |
| WELLES, CALDWELL, MEAD | I | PRESIDENT | NA | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF OPERATIONS OFFICER | NA | Control |
| WELLES, CALDWELL, MEAD | I | PRESIDENT | NA | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF OPERATIONS OFFICER | NA | Control |
| WELLES, CALDWELL, MEAD | I | PRESIDENT | NA | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF OPERATIONS OFFICER | NA | Control |
| WELLES, CALDWELL, MEAD | I | PRESIDENT | NA | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF OPERATIONS OFFICER | NA | Control |
| WELLES, CALDWELL, MEAD | I | PRESIDENT | NA | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF OPERATIONS OFFICER | NA | Control |
| WELLES, CALDWELL, MEAD | I | PRESIDENT | NA | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF OPERATIONS OFFICER | NA | Control |
| OCTAGON INTERNATIONAL HOLDINGS, L.L.C. | DE | MEMBER | E | Control |
| OCTAGON INTERNATIONAL HOLDINGS, LLC | DE | MEMBER | E | Control |
| OCTAGON INTERNATIONAL HOLDINGS, LLC | DE | MEMBER | E | Control |
| OCTAGON INTERNATIONAL HOLDINGS, LLC | DE | MEMBER | E | Control |
| OCTAGON INTERNATIONAL HOLDINGS, LLC | DE | MEMBER | E | Control |
| OCTAGON INTERNATIONAL HOLDINGS, LLC | DE | MEMBER | E | Control |
| OCTAGON INTERNATIONAL HOLDINGS, LLC | DE | MEMBER | E | Control |
| OCTAGON INTERNATIONAL HOLDINGS, LLC | DE | MEMBER | E | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF COMPLIANCE OFFICER | E | Control |
| WELLES, CALDWELL, MEAD | I | PRESIDENT | E | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF COMPLIANCE OFFICER | E | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF COMPLIANCE OFFICER | E | Control |
| WELLES, CALDWELL, MEAD | I | CHIEF COMPLIANCE OFFICER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| WELLES, CALDWELL, MEAD | I | OCTAGON INTERNATIONAL HOLDINGS, LLC | E | Control |
| WELLES, CALDWELL, MEAD | I | OCTAGON INTERNATIONAL HOLDINGS, LLC | E | Control |
| WELLES, CALDWELL, MEAD | I | OCTAGON INTERNATIONAL HOLDINGS, LLC | E | Control |
| WELLES, CALDWELL, MEAD | I | OCTAGON INTERNATIONAL HOLDINGS, LLC | E | Control |
| WELLES, CALDWELL, MEAD | I | OCTAGON INTERNATIONAL HOLDINGS, LLC | E | Control |
Registrations
Federal
IA
May 6, 2010 REGISTERED
Notice Filings (5)
CT FL IL NY WA
Address
267 FIFTH AVENUESUITE 800
NEW YORK, NY 10016-7503
United States
Phone: 212-683-8811