# Octagon Asset Management, LLC

> Octagon Asset Management, LLC is an SEC-registered investment advisory firm in Charlotte, NC, registered since 2017, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 5, 2026.

- CRD: 286248
- Filed as: OCTAGON ASSET MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Charlotte, NC
- Filing period: October 2026
- Form ADV filing dated: March 5, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/286248
- AdvisorCensus page: https://advisorcensus.com/firm/octagon-asset-management-llc-charlotte-nc-286248

## Quick answers

**How is Octagon Asset Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Octagon Asset Management, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Octagon Asset Management, LLC located?**
Octagon Asset Management, LLC's principal office is in Charlotte, NC, according to its Form ADV.

**Is Octagon Asset Management, LLC registered with the SEC or a state?**
Octagon Asset Management, LLC is an SEC-registered investment advisory firm, registered since 2017. Status as filed: Approved. CRD 286248.

**How much does Octagon Asset Management, LLC manage?**
Octagon Asset Management, LLC reports $221,219,912 in regulatory assets under management in its Form ADV filing dated March 5, 2026 (2% discretionary).

**How have Octagon Asset Management, LLC's assets and staff changed since 2021?**
In the Form ADV data for Octagon Asset Management, LLC: Regulatory assets under management: $29,937,000 in the October 2021 data and $221,219,912 in the October 2026 data, up 639%. Total employees: 3 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Octagon Asset Management, LLC serve?**
By number of clients on Form ADV Item 5.D: investment companies (4); pooled investment vehicles (other than investment companies and business development companies) (1).

**Does Octagon Asset Management, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/286248

**What changed in Octagon Asset Management, LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $191,907,953 to $221,219,912 (+15%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Regulatory assets under management (Item 5.F)
- Total: $221,219,912
- Discretionary: $3,683,045
- Non-discretionary: $217,536,867

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Investment companies | 4 | $217,536,867 |
| Pooled investment vehicles (other than investment companies and business development companies) | 1 | $3,683,045 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)

### Firm details
- Registered since: 2017 (9 years)
- Employees: 4 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NC
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- octagonam.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $29,937,000 | 3 | March 31, 2021 |
| October 2022 | $128,184,220 | 4 | April 7, 2022 |
| October 2023 | $171,466,511 | 4 | March 28, 2023 |
| October 2024 | $179,729,235 | 4 | February 29, 2024 |
| October 2025 | $191,907,953 | 4 | March 27, 2025 |
| October 2026 | $221,219,912 | 4 | March 5, 2026 |

Regulatory assets under management: $29,937,000 in the October 2021 data and $221,219,912 in the October 2026 data, up 639%.
Total employees: 3 in October 2021 and 4 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $191,907,953 to $221,219,912 (+15%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Octagon Asset Management, LLC (CRD 286248): Form ADV filing data as of October 2026.