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.

Former SEC-registered adviser

Octogone Na

Former SEC-registered adviserMiami, FloridaCRD 285157SEC 801-112433IAPD
Legal name Octogone Na Inc.
Latest filing Jun 22, 2022
First filing on the tape Oct 7, 2016 · 25 filings
RAUM
$517M
reported, Item 5.F
Discretionary
49%
of RAUM
Private clients
6.2%
$32.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
$117M gross assets
History
25 filings and snapshots on the tape
RAUM$517M as of Mar 11, 2022
Mar 29, 2017$25.0M then
HNW client RAUM$19.0M as of Mar 11, 2022
Feb 27, 2018$32.4M then
State-registered IARs (5.B.3)7 as of Mar 11, 2022
Mar 29, 20170 then
Employees (5.A)12 as of Mar 11, 2022
Mar 29, 20172 then
Private funds8 as of Mar 11, 2022
Mar 22, 20213 then
RAUM +47% over the last fiscal year+78% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Jun 22, 2022; every figure names its basis
RAUM per advisor
$73.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
4derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$5.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
49%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+47%derivedbetween the last two annual amendments
Advisor growth, one year
+17%derivedItem 5.B.3 between annual amendments
Client growth, one year
+100%derived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
$62.1M, 5 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$373M72%
  • Pooled investment vehicles$112M22%
  • High-net-worth individuals$19.0M3.7%
  • Individuals$13.1M2.5%
Individual clients
18reported
HNW clients
12reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
89reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$62.1M for 5 clientsreported
Compensation
% of AUM, fixed, performancereported
Class basis
absent from the latest SEC rosterderived
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Michelsen Christian Herman · Chief Executive Officercontrol
      since 08/2016 · owns less than 5%
    • Didrik Joakim Lehmkuhl · Ownercontrol
      since 07/2004 · owns 25% to 50% of Lhl Holding Ltd
    • Marie Gabriela Gomez · Chief Compliance Officer
      since 02/2018 · owns less than 5%
    Entity owners
    • Lhl Holding Ltd · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • Firmus-Octogone Inc.
      investment advisern
    • Octogone Advisors (Cayman) Ltd.
      investment advisern
    • Octogone Fund Management
      investment advisern
    • Octogone Gestion Sa
      investment advisern
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 69 to 89
      Nov 8, 2021 to Mar 11, 2022
    • Advisory employees · 8 to 9
      Nov 8, 2021 to Mar 11, 2022
    • Corporate clients · 54 to 53
      Nov 8, 2021 to Mar 11, 2022
    • Individual clients · 3 to 18
      Nov 8, 2021 to Mar 11, 2022
    • Pooled vehicle clients · 4 to 6
      Nov 8, 2021 to Mar 11, 2022
    • Assets in custody · $5.1M to $62.1M
      Nov 8, 2021 to Mar 11, 2022
    • Employees · 9 to 12
      Nov 8, 2021 to Mar 11, 2022
    • State-registered IARs · 6 to 7
      Nov 8, 2021 to Mar 11, 2022
    • Discretionary RAUM · $216M to $251M
      Nov 8, 2021 to Mar 11, 2022
    • HNW RAUM · $21.4M to $19.0M
      Nov 8, 2021 to Mar 11, 2022
    • Individual RAUM · $1.7M to $13.1M
      Nov 8, 2021 to Mar 11, 2022
    • Non-discretionary RAUM · $136M to $265M
      Nov 8, 2021 to Mar 11, 2022
    • Pooled vehicle RAUM · $59.7M to $112M
      Nov 8, 2021 to Mar 11, 2022
    • RAUM · $352M to $517M
      Nov 8, 2021 to Mar 11, 2022
    • Private funds · 3 to 8
      Mar 23, 2021 to Jul 8, 2021
    • Accounts · 67 to 69
      Dec 23, 2020 to Mar 22, 2021
    • Advisory employees · 4 to 8
      Dec 23, 2020 to Mar 22, 2021
    • Corporate clients · 41 to 54
      Dec 23, 2020 to Mar 22, 2021
    • HNW clients · 17 to 12
      Dec 23, 2020 to Mar 22, 2021
    • Individual clients · 4 to 3
      Dec 23, 2020 to Mar 22, 2021
    • Pooled vehicle clients · 5 to 4
      Dec 23, 2020 to Mar 22, 2021
    • Employees · 4 to 9
      Dec 23, 2020 to Mar 22, 2021
    • State-registered IARs · 3 to 6
      Dec 23, 2020 to Mar 22, 2021
    • Discretionary RAUM · $188M to $216M
      Dec 23, 2020 to Mar 22, 2021
    • HNW RAUM · $22.5M to $21.4M
      Dec 23, 2020 to Mar 22, 2021
    • Individual RAUM · $1.8M to $1.7M
      Dec 23, 2020 to Mar 22, 2021
    • Non-discretionary RAUM · $117M to $136M
      Dec 23, 2020 to Mar 22, 2021
    • Pooled vehicle RAUM · $41.6M to $59.7M
      Dec 23, 2020 to Mar 22, 2021
    • RAUM · $306M to $352M
      Dec 23, 2020 to Mar 22, 2021
    • Accounts · 40 to 67
      Aug 4, 2020 to Dec 23, 2020
    • Corporate clients · 19 to 41
      Aug 4, 2020 to Dec 23, 2020
    • HNW clients · 19 to 17
      Aug 4, 2020 to Dec 23, 2020
    • Individual clients · unset to 4.0
      Aug 4, 2020 to Dec 23, 2020
    • Pooled vehicle clients · 2 to 5
      Aug 4, 2020 to Dec 23, 2020
    • Discretionary RAUM · $92.2M to $188M
      Aug 4, 2020 to Dec 23, 2020
    • HNW RAUM · $38.8M to $22.5M
      Aug 4, 2020 to Dec 23, 2020
    • Individual RAUM · unset to 1836133.0
      Aug 4, 2020 to Dec 23, 2020
    • Non-discretionary RAUM · $21.2M to $117M
      Aug 4, 2020 to Dec 23, 2020
    • Pooled vehicle RAUM · $5.1M to $41.6M
      Aug 4, 2020 to Dec 23, 2020
    • RAUM · $113M to $306M
      Aug 4, 2020 to Dec 23, 2020
    Signals
    4 dated events
    • Benjamin Englert Hein left Octogone Na for Oac Capital Advisors Llc (registered 2022-06-21)
      Aug 30, 2022 · Advisor changed firm · fact
    • Octogone Na reported RAUM $516.9M, up 47% from $352.1M (2021-11-08 to 2022-03-11)
      Mar 11, 2022 · RAUM change · derived
    • Octogone Na reported RAUM $305.7M, up 169% from $113.5M (2020-08-04 to 2020-12-23)
      Dec 23, 2020 · RAUM change · derived
    • Octogone Na filed its initial SEC registration (Form ADV)
      Oct 7, 2016 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda 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
    Across the graphs

    Octogone Na is the same institution as 1 record in Real Estate Funds.

    Real Estate Funds1

    Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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