DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
O•••••• C••••• I••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Dec 19, 2011 · 49 filings
SEC status approved since Jan 3, 2011
RAUM
$35B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
100
43 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
59
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$35B as of Mar 30, 2026
Mar 30, 2012$5.0B then
HNW client RAUM$0 as of Mar 30, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 28, 20130 then
Employees (5.A)100 as of Mar 30, 2026
Mar 28, 201332 then
Private funds59 as of Mar 30, 2026
Mar 30, 201211 then
RAUM +2.3% over the last fiscal year+0.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $266MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $2.9B, 17 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$31B88%
- Insurance companies$1.8B5.1%
- Pension and profit-sharing plans$1.6B4.6%
- Investment companies$729M2.1%
- Corporations and businesses$48.5M0.1%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 132reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.9B for 17 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.9 institutional_share=0.1 related_bd=true related_bank=true bd_reps=16.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
86 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•••••• S••••• S•••••• C••••• M••••• F••• L••• | Other Private Fund | $1.1B | 82 | Mar 30, 2012 |
| O•••••• I••••••••• P••••••• 2•• L•••no longer reported | Securitized Asset Fund | $905M | 23 | Mar 29, 2016 |
| O•••••• 6•• L••• | Securitized Asset Fund | $847M | 3 | Mar 29, 2016 |
| B•••••• S•••••••• C••••• P••••••• I•• L• | Other Private Fund | $810M | 2 | Mar 28, 2019 |
| O•••••• I••••••••• P••••••• X••• L••• | Securitized Asset Fund | $735M | 4 | Mar 30, 2015 |
| O•••••• I••••••••• P••••••• 2•• L••• | Securitized Asset Fund | $688M | 2 | Mar 30, 2017 |
| O•••••• I••••••••• P••••••• 1•••• L••• | Securitized Asset Fund | $680M | 6 | Mar 31, 2014 |
| O•••••• I••••••••• P••••••• X•••• L••• | Securitized Asset Fund | $645M | 5 | Mar 30, 2015 |
| O•••••• I••••••••• P••••••• 4•• L••• | Securitized Asset Fund | $643M | 6 | Mar 17, 2020 |
| O•••••• I••••••••• P••••••• 3•• L••• | Securitized Asset Fund | $634M | 3 | Mar 28, 2019 |
| O•••••• 5•• L••• | Securitized Asset Fund | $602M | 7 | Mar 22, 2022 |
| O•••••• I••••••••• P••••••• 3•• L••• | Securitized Asset Fund | $592M | 8 | Mar 28, 2019 |
| O•••••• I••••••••• P••••••• 4•• L••• | Securitized Asset Fund | $590M | 3 | Mar 28, 2019 |
| O•••••• I••••••••• P••••••• 3•• L••• | Securitized Asset Fund | $585M | 7 | Mar 29, 2018 |
| O•••••• I••••••••• P••••••• X••• L••• | Securitized Asset Fund | $583M | 4 | Mar 28, 2013 |
| O•••••• I••••••••• P••••••• X••••• L•••no longer reported | Securitized Asset Fund | $575M | 4 | Mar 30, 2015 |
| O•••••• I••••••••• P••••••• 3•• L••• | Securitized Asset Fund | $564M | 5 | Mar 30, 2017 |
| O•••••• 6•• L••• | Securitized Asset Fund | $551M | 2 | Mar 20, 2023 |
| O•••••• 5•• L••• | Securitized Asset Fund | $548M | 1 | Mar 22, 2022 |
| O•••••• I••••••••• P••••••• 4•• L••• | Securitized Asset Fund | $501M | 2 | Mar 19, 2021 |
| O•••••• 6•• L••• | Securitized Asset Fund | $501M | 2 | Mar 20, 2023 |
| O•••••• 6•• L••• | Securitized Asset Fund | $501M | 3 | Mar 22, 2022 |
| O•••••• 6•• L••• | Securitized Asset Fund | $500M | 2 | Mar 20, 2023 |
| O•••••• 5•• L••• | Securitized Asset Fund | $500M | 6 | Mar 19, 2021 |
| O•••••• 5•• L••• | Securitized Asset Fund | $499M | 2 | Mar 20, 2023 |
| O•••••• 6•• L••• | Securitized Asset Fund | $499M | 2 | Mar 20, 2023 |
| O•••••• I••••••••• P••••••• 4•• L••• | Securitized Asset Fund | $498M | 4 | Mar 17, 2020 |
| O•••••• 5•• L••• | Securitized Asset Fund | $498M | 3 | Mar 22, 2022 |
| O•••••• 5•• L••• | Securitized Asset Fund | $497M | 2 | Mar 22, 2022 |
| O•••••• I••••••••• P••••••• 4•• L••• | Securitized Asset Fund | $496M | 1 | Mar 28, 2019 |
| O•••••• 5•• L••• | Securitized Asset Fund | $496M | 9 | Mar 22, 2022 |
| O•••••• 5•• L••• | Securitized Asset Fund | $496M | 2 | Mar 22, 2022 |
| O•••••• 5•• L••• | Securitized Asset Fund | $495M | 2 | Mar 22, 2022 |
| O•••••• I••••••••• P••••••• 4•• L•• | Securitized Asset Fund | $494M | 6 | Mar 17, 2020 |
| O•••••• I••••••••• P••••••• 4•• L••• | Securitized Asset Fund | $494M | 1 | Mar 28, 2019 |
| O•••••• I••••••••• P••••••• 3•• L••• | Securitized Asset Fund | $492M | 5 | Mar 29, 2018 |
| O•••••• I••••••••• P••••••• 4•• L••• | Securitized Asset Fund | $492M | 6 | Mar 17, 2020 |
| O•••••• I••••••••• P••••••• 4•• L••• | Securitized Asset Fund | $492M | 2 | Mar 17, 2020 |
| O•••••• I••••••••• P••••••• X••• L••• | Securitized Asset Fund | $491M | 3 | Mar 31, 2014 |
| O•••••• I••••••••• P••••••• 2•• L••• | Securitized Asset Fund | $490M | 2 | Mar 30, 2017 |
Owners and control persons
Schedule A and B, latest filing
- A•••• A••• S••••• · Chief Financial Officercontrolsince 01/2023 · owns less than 5%
- B••••• M•••••• G•••••••• · Head Of Trading And Capital Markets, Head Of S•••••••• Initiativescontrolsince 01/2024 · owns less than 5%
- B•••••••• L••••••• E•••• · Chairman / Board Membercontrolsince 02/2016 · owns less than 5%
- D••••••• G•••••••• C•••••• · General Counselcontrolsince 05/2017 · owns less than 5%
- D•••••• J•••• A••••• · Managing Director - Business & Product Developmentcontrolsince 04/2011 · owns less than 5%
- G••••••• S•••• M•••••• · Portfolio Managercontrolsince 04/2020 · owns less than 5%
- G•••••• A•••••• D•••• · Executive Chair, Board Membercontrolsince 01/2024 · owns less than 5%
- H••••••••• M••••• D•••••• · Board Membercontrolsince 10/2021 · owns less than 5%
- J•••••• M•••••••• A••• · Chief Risk Officer, Chief Compliance Officercontrolsince 01/2024 · owns less than 5%
- L••• L•••••• K•••••• · S••••• Portfolio Managercontrolsince 01/2024 · owns less than 5%
- L••• J•••• W•• · Board Membercontrolsince 02/2016 · owns less than 5%
- M••••••••• D••••••• J••• · Chief Operating Officer, Head Of Investor Solutionscontrolsince 01/2024 · owns less than 5%
- M•••• G•••••••• M•• · Chief Executive Officer, Board Membercontrolsince 01/2024 · owns less than 5%
- N••••••••• M••••••• B•••••• · Cio, Sr Portfolio Manager, And Board Membercontrolsince 12/2003 · owns less than 5%
- S•••• R••••••• L•••• · Board Membercontrolsince 02/2016 · owns less than 5%
Entity owners
- C•••••• • C•••••• · Memberdirect · owns 75% or more
- A••••••••• G••••••• S••••• · Shareholderindirect · owns 75% or more of G••••••• I••••••••• H•••••• S•••••
- C•••••• H••••••• C••• · Shareholderindirect · owns 75% or more of C•••••• • C••••••
- C•••••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of C•••••• U••• H•••••••• I•••
- C•••••• U••• H•••••••• I••• · Shareholderindirect · owns 75% or more of C•••••• H••••••• C•••
- G••••••• I••••••••• H•••••• S••••• · Shareholderindirect · owns 75% or more of C•••••• H••••••• L••••••
Related persons
Schedule D 7.A
- C•••••• A••• P•••••• L•••••• •••• K••••broker-dealerinvestment advisern
- C•••••• A•••• M••••••••• L••• •••broker-dealerinvestment advisern
- C•••••• I••••••••• P•••••••• I•••broker-dealerinvestment advisernRAUM $572M
- C••••••• I•••investment adviserbanknRAUM $107B
- G••••• E•••••••• A•••• M••••••••• A••investment advisern
- G••••• E•••••••• M•••• S•investment advisern
- G••••• E•••••••• U••• L••investment advisernRAUM $1.2B
- G•••••• C•••••• A•••••••• I•••investment advisernRAUM $987M
- O•••••• C••••• O••••••••• G•• L••pooled vehicle sponsory
- O•••••• F•••• G• I• L••pooled vehicle sponsory
- O•••••• F•••• G• I•• L••pooled vehicle sponsory
- O•••••• F•••• G• L••pooled vehicle sponsory
- P••• I••••••••• A•••••••• L•••••investment advisernRAUM $1.9B
Advisers that list O•••••• C••••• I••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 121 to 132Nov 18, 2025 to Mar 30, 2026
- Advisory employees · 42 to 43Nov 18, 2025 to Mar 30, 2026
- BD registered reps · 18 to 16Nov 18, 2025 to Mar 30, 2026
- Charity clients · 1 to 0Nov 18, 2025 to Mar 30, 2026
- Corporate clients · 1.0 to unsetNov 18, 2025 to Mar 30, 2026
- Pension plan clients · 5.0 to unsetNov 18, 2025 to Mar 30, 2026
- Pooled vehicle clients · 70 to 81Nov 18, 2025 to Mar 30, 2026
- Assets in custody · $2.4B to $2.9BNov 18, 2025 to Mar 30, 2026
- Employees · 92 to 100Nov 18, 2025 to Mar 30, 2026
- Private funds · 66 to 59Nov 18, 2025 to Mar 30, 2026
- Discretionary RAUM · $34B to $35BNov 18, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $32.6M to $0Nov 18, 2025 to Mar 30, 2026
- Pension RAUM · $1.5B to $1.6BNov 18, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $30B to $31BNov 18, 2025 to Mar 30, 2026
- RAUM · $34B to $35BNov 18, 2025 to Mar 30, 2026
- Financial planning clients · unset to Apr 21, 2025 to Jul 21, 2025
- Accounts · 124 to 121Jan 7, 2025 to Apr 21, 2025
- Advisory employees · 41 to 42Jan 7, 2025 to Apr 21, 2025
- BD registered reps · 16 to 18Jan 7, 2025 to Apr 21, 2025
- Corporate clients · 2 to 1Jan 7, 2025 to Apr 21, 2025
- Pension plan clients · 3 to 5Jan 7, 2025 to Apr 21, 2025
- Pooled vehicle clients · 67 to 70Jan 7, 2025 to Apr 21, 2025
- Assets in custody · $2.0B to $2.4BJan 7, 2025 to Apr 21, 2025
- Employees · 86 to 92Jan 7, 2025 to Apr 21, 2025
- Private funds · 63 to 66Jan 7, 2025 to Apr 21, 2025
- Discretionary RAUM · $35B to $34BJan 7, 2025 to Apr 21, 2025
- Non-discretionary RAUM · $35.7M to $32.6MJan 7, 2025 to Apr 21, 2025
- Pension RAUM · $918M to $1.5BJan 7, 2025 to Apr 21, 2025
- Pooled vehicle RAUM · $31B to $30BJan 7, 2025 to Apr 21, 2025
- RAUM · $35B to $34BJan 7, 2025 to Apr 21, 2025
- Accounts · 109 to 124Jan 2, 2024 to Mar 22, 2024
- Advisory employees · 39 to 41Jan 2, 2024 to Mar 22, 2024
- BD registered reps · 17 to 16Jan 2, 2024 to Mar 22, 2024
- Charity clients · unset to 1.0Jan 2, 2024 to Mar 22, 2024
- Corporate clients · unset to 2.0Jan 2, 2024 to Mar 22, 2024
- HNW clients · unset to 0.0Jan 2, 2024 to Mar 22, 2024
- Individual clients · unset to 0.0Jan 2, 2024 to Mar 22, 2024
- Pension plan clients · unset to 3.0Jan 2, 2024 to Mar 22, 2024
- Pooled vehicle clients · 62 to 67Jan 2, 2024 to Mar 22, 2024
- Assets in custody · $1.9B to $2.0BJan 2, 2024 to Mar 22, 2024
Signals
9 dated events
- John Douglas Mcdermott (Chief Operating Officer, Head Of Investor Solutions) appeared on Schedule A of O•••••• C••••• I••••••••• L••Jan 2, 2024 · Control person joined · fact
- Anthony Thomas Connors (Cfo, Cao, Member) no longer on Schedule A of O•••••• C••••• I••••••••• L•• (listed 2022-03-23, absent 2023-01-23)Jan 23, 2023 · Control person left · inference
- George Duarte (Managing Director - Business Development, Member) no longer on Schedule A of O•••••• C••••• I••••••••• L•• (listed 2022-03-23, absent 2023-01-23)Jan 23, 2023 · Control person left · inference
- S••••• Amy A••• (Chief Financial Officer) appeared on Schedule A of O•••••• C••••• I••••••••• L••Jan 23, 2023 · Control person joined · fact
- Deborah Meryl Hartzband (Board Member) appeared on Schedule A of O•••••• C••••• I••••••••• L••Nov 14, 2021 · Control person joined · fact
- Sean Gleason (Assistant Portfolio Manager) appeared on Schedule A of O•••••• C••••• I••••••••• L••Apr 29, 2020 · Control person joined · fact
- G•••••••• M••••• B•••• (Head Of Trading And Capital Markets, Member) appeared on Schedule A of O•••••• C••••• I••••••••• L••Mar 17, 2020 · Control person joined · fact
- Michelle Lauren Basmadjian (Senior Portfolio Manager, Member) no longer on Schedule A of O•••••• C••••• I••••••••• L•• (listed 2019-03-28, absent 2020-03-17)Mar 17, 2020 · Control person left · inference
- Matthew Sungho Lee (Head Of Research, Member) no longer on Schedule A of O•••••• C••••• I••••••••• L•• (listed 2018-04-11, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- O•••••• C••••• I••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- O•••••• C••••• I••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/octagon-credit-investorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-400-8400reportedpublic record, Form ADV, Mar 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026