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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 1b 10b

OFS

OCTAGON FINANCIAL SERVICES INC, CRD 107335

MCLEAN, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:03c8049a-e12a-5bfa-c539-1582ffcd086c

Data as of Mar 27, 2025 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 12
On other graphs: 1
Observed: Mar 26, 2012 to Mar 27, 2025
25 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Ofs

Intermediary · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.4BItem 5.F on the latest filing (2025-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.2B
Private client RAUM: $1.3BderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 24
Advisory employees: 7
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 461
Individual clients: 199
High net worth clients: 149
Custody, client assets: $910M
SEC number: 801-20076
CIK: 729665
CRD: 107335
Filings on the tape: 25
First filed: Mar 26, 2012
Latest filed: Mar 27, 2025
Organised: Corporation, DC

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
INTERPUBLIC GROUP OF COMPANIES, INC.	Owner	E	yes	05/1997	Mar 20, 2020	May 16, 2024
LEGG, CHRISTOPHER, JOHN	VICE PRESIDENT	Na	yes	05/2013	May 30, 2013	May 16, 2024
MARSH, GEOFFREY, DOUGLAS	Treasurer	Na	yes	05/2013	May 30, 2013	May 16, 2024
OCTAGON, INC.	OWNER OF APPLICANT	E	yes	01/1986	Mar 30, 2015	May 16, 2024
PHILBIN, AUSTIN, J	CHIEF OPERATING OFFICER	Na	yes	08/2023	Mar 28, 2024	May 16, 2024
ZECCA, FRANK, MATTHEW	President	Na	yes	05/2013	Mar 26, 2012	May 16, 2024
HAASE, PAUL, JOHN	CHIEF COMPLIANCE OFFICER	Na	no	01/2014	Mar 28, 2014	May 16, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
WATERLOO, ONTARIO	n/a	Canada	2	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Mar 27, 2025	$1.4B	$1.2B	24	7	1	n/a	n/a
2023	Mar 28, 2024	$1.2B	$1.1B	23	7	1	n/a	n/a
2022	Mar 24, 2023	$1.1B	$1.1B	19	10	1	n/a	n/a
2021	Mar 29, 2022	$1.3B	$1.3B	20	10	1	n/a	n/a
2020	Mar 30, 2021	$939M	$939M	19	10	2	n/a	n/a
2019	Mar 20, 2020	$802M	$802M	19	10	2	n/a	n/a
2018	Mar 26, 2019	$660M	$660M	19	9	2	n/a	n/a
2017	Mar 28, 2018	$630M	$630M	20	9	2	n/a	n/a
2016	Mar 4, 2017	$534M	$534M	15	7	n/a	n/a	n/a
2015	Mar 29, 2016	$510M	$510M	11	7	n/a	n/a	n/a
2014	Mar 30, 2015	$472M	$472M	12	7	n/a	n/a	n/a
2013	Mar 28, 2014	$450M	$450M	13	7	n/a	n/a	n/a
2012	Apr 1, 2013	$392M	$392M	14	6	n/a	n/a	n/a
2011	Mar 26, 2012	$310M	$310M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	7	-7	n/a	0	0	0	0	7

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$1.4B	$1.2B	13.3%	$1.3B	2.0%	24	23	1	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ACTIV8 FAMILY OFFICE LLC	6	Dec 11, 2025	Apr 16, 2026	MCLEAN, VA	Firm absorbed	RIA to new firm	85.7%

Relationships

Moved with (1)

→ ACTIV8 FAMILY OFFICE LLCRegistered adviser6 advisors, firm absorbed, same day
Dec 11, 2025 to Apr 16, 2026factForm ADV

Registered with (8)

← FRANK MATTHEW ZECCAAdvisorregistration: previous registration
Apr 26, 2000 to Dec 11, 2025factForm ADV
← BRETT MICHAEL DIMASAdvisorregistration: previous registration
Dec 2, 2008 to Dec 11, 2025factForm ADV
← CHRISTOPHER JOHN LEGGAdvisorregistration: previous registration
Sep 21, 2010 to Dec 11, 2025factForm ADV
← CHRISTOPHER PETER ANESTAdvisorregistration: previous registration
May 8, 2018 to Dec 11, 2025factForm ADV
← GEOFFREY DOUGLAS MARSHAdvisorregistration: previous registration
May 29, 2013 to Dec 11, 2025factForm ADV
← KEITH SEAN PACKARDAdvisorregistration: previous registration
Jan 17, 2014 to Dec 11, 2025factForm ADV
← Timothy AlvaradoAdvisorregistration: previous registration
Jan 23, 2019 to Dec 11, 2025factForm ADV
← JOSEPH L CORBETTAdvisorregistration: previous registration
Feb 4, 2002 to Dec 31, 2005factForm ADV

Controls (6)

← ZECCA, FRANK, MATTHEWOwnerPRESIDENT, ownership code NA, individual
Mar 26, 2012 to May 16, 2024factForm ADV
← LEGG, CHRISTOPHER, JOHNOwnerVICE PRESIDENT, ownership code NA, individual
May 30, 2013 to May 16, 2024factForm ADV
← PHILBIN, AUSTIN, JOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 28, 2024 to May 16, 2024factForm ADV
← MARSH, GEOFFREY, DOUGLASOwnerTREASURER, ownership code NA, individual
May 30, 2013 to May 16, 2024factForm ADV
← INTERPUBLIC GROUP OF COMPANIES, INC.OwnerOWNER, ownership code E, domestic entity
Mar 20, 2020 to May 16, 2024factForm ADV
← OCTAGON, INC.OwnerOWNER OF APPLICANT, ownership code E, domestic entity
Mar 30, 2015 to May 16, 2024factForm ADV

Owns (1)

← HAASE, PAUL, JOHNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2014 to May 16, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Dec 11, 2025
Firm absorbed
Ofs's advisors moved to Activ8 Family Office LLC (Mclean, VA): 6 of 7 registered, on the same day
Form ADVobserved 3 days ago
6 advisors
Occurred
Dec 11, 2025
Advisor changed firm
Christopher Peter Anest left Ofs for Activ8 Family Office Llc (registered 2025-12-01)
Form ADVobserved 3 days ago
Occurred
Dec 11, 2025
Advisor changed firm
Geoffrey Douglas Marsh left Ofs for Activ8 Family Office Llc (registered 2025-12-01)
Form ADVobserved 3 days ago
Occurred
Dec 11, 2025
Advisor changed firm
Keith Sean Packard left Ofs for Activ8 Family Office Llc (registered 2025-12-01)
Form ADVobserved 3 days ago
Occurred
Dec 11, 2025
Advisor changed firm
Timothy Alvarado left Ofs for Activ8 Family Office Llc (registered 2026-04-16)
Form ADVobserved 3 days ago
Occurred
Dec 11, 2025
Advisor changed firm
Frank Matthew Zecca left Ofs for Activ8 Family Office Llc (registered 2025-12-01)
Form ADVobserved 3 days ago
Occurred
Dec 11, 2025
Advisor changed firm
Brett Michael Dimas left Ofs for Raymond James & Associates, Inc. (registered 2011-12-23)
Form ADVobserved 3 days ago
Occurred
Dec 11, 2025
Advisor changed firm
Christopher John Legg left Ofs for Activ8 Family Office Llc (registered 2025-12-01)
Form ADVobserved 3 days ago
Occurred
Mar 28, 2024
Control person joined
J Austin Philbin (Chief Operating Officer) appeared on Schedule A of Ofs
Form ADVobserved 3 days ago
Occurred
Mar 29, 2022
Regulatory AUM changed
Ofs reported RAUM $1.3B, up 36% from $938.7M (2021-03-30 to 2022-03-29)
Form ADVobserved 3 days ago
$340M
Occurred
Mar 20, 2020
Control person joined
John Christopher Legg (Vice President) appeared on Schedule A of Ofs
Form ADVobserved 3 days ago

Show 1 bookkeeping events

Occurred
Apr 1, 2026
Ofs no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $1.4B)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:03c8049a-e12a-5bfa-c539-1582ffcd086c
First observed: Mar 26, 2012
Last observed: Mar 27, 2025 18 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

OFS

OCTAGON FINANCIAL SERVICES INC, CRD 107335

MCLEAN, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:03c8049a-e12a-5bfa-c539-1582ffcd086c

Data as of Mar 27, 2025 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:13 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

INTERPUBLIC GROUP OF COMPANIES, INC.

Owner

yes

05/1997

Mar 20, 2020

May 16, 2024

LEGG, CHRISTOPHER, JOHN

VICE PRESIDENT

yes

05/2013

May 30, 2013

May 16, 2024

MARSH, GEOFFREY, DOUGLAS

Treasurer

yes

05/2013

May 30, 2013

May 16, 2024

OCTAGON, INC.

OWNER OF APPLICANT

yes

01/1986

Mar 30, 2015

May 16, 2024

PHILBIN, AUSTIN, J

CHIEF OPERATING OFFICER

yes

08/2023

Mar 28, 2024

May 16, 2024

ZECCA, FRANK, MATTHEW

President

yes

05/2013

Mar 26, 2012

May 16, 2024

HAASE, PAUL, JOHN

CHIEF COMPLIANCE OFFICER

01/2014

Mar 28, 2014

May 16, 2024

City

State

Country

Employees

Also broker-dealer

WATERLOO, ONTARIO

n/a

Canada

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Mar 27, 2025

$1.4B

$1.2B

n/a

2023

Mar 28, 2024

$1.2B

$1.1B

n/a

2022

Mar 24, 2023

$1.1B

n/a

2021

Mar 29, 2022

$1.3B

n/a

2020

Mar 30, 2021

$939M

n/a

2019

Mar 20, 2020

$802M

n/a

2018

Mar 26, 2019

$660M

n/a

2017

Mar 28, 2018

$630M

n/a

2016

Mar 4, 2017

$534M

n/a

2015

Mar 29, 2016

$510M

n/a

2014

Mar 30, 2015

$472M

n/a

2013

Mar 28, 2014

$450M

n/a

2012

Apr 1, 2013

$392M

n/a

2011

Mar 26, 2012

$310M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-7

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$1.4B

$1.2B

13.3%

$1.3B

2.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ACTIV8 FAMILY OFFICE LLC

Dec 11, 2025

Apr 16, 2026

MCLEAN, VA

Firm absorbed

RIA to new firm

85.7%