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.
SEC-registered adviser
Octogone Na
Legal name Octogone Na, LLC
Latest filing Sep 11, 2026
First filing on the tape Jul 22, 2022 · 17 filings
SEC status approved since Aug 24, 2022
RAUM
$470M
reported, Item 5.F
Discretionary
51%
of RAUM
Private clients
14%
$66.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$470M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$470M as of Mar 27, 2026
Mar 30, 2023$289M then
HNW client RAUM$52.8M as of Mar 27, 2026
Mar 30, 2023$16.5M then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 30, 20235 then
Employees (5.A)6 as of Mar 27, 2026
Mar 30, 202311 then
Private funds6 as of Mar 27, 2026
Mar 30, 20237 then
RAUM +26% over the last fiscal year+18% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 11, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $470MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $4.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 51%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $45.0M, 6 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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$358M76%
- High-net-worth individuals$52.8M11%
- Pooled investment vehicles$45.0M9.6%
- Individuals$13.6M2.9%
- Individual clients
- 21reported
- HNW clients
- 15reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 97reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $45.0M for 6 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.14 fund_share=0.1 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Hunter Aron Sabety | Miami, Fl | Sep 20, 2022 | 11 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Anita Bustos to Oac Capital Advisors LLCOct 14, 2024 · Other
Joined, latest
none on the tape
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Delphi Arbitrage Fund, Ltd | Hedge Fund | $23.7M | 60 | Jul 8, 2021 |
| Octogone Brickell Opportunity Fund LP | Real Estate Fund | $16.3M | 6 | Mar 21, 2024 |
| Octogone Brickell Opportunity Blocker LLC | Real Estate Fund | $14.0M | 2 | Mar 21, 2024 |
| Delphi Global Limited | Hedge Fund | $12.3M | 38 | Jul 8, 2021 |
| Brickell Opportunity Fund International Ltd | Real Estate Fund | $10.8M | 17 | Mar 21, 2024 |
| The Prs Newport Fund | Hedge Fund | $4.7M | 1 | Mar 30, 2012 |
| Octogone Partners Fund LP | Hedge Fund | $4.0M | 7 | Jun 15, 2020 |
| Cresthill Holdings Fund Inc. | Hedge Fund | $3.7M | 1 | Mar 30, 2012 |
| Octogone Real Estate Fund I LLC | Real Estate Fund | $3.6M | 6 | Jun 15, 2020 |
| Octogone Partners Fund International Ltd | Hedge Fund | $924,317 | 4 | Jun 15, 2020 |
Owners and control persons
Schedule A and B, latest filing
- Nmn James Giraldo · Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
Entity owners
- Focus Operating, LLC · Member (Manager)direct · owns 75% or more
- Cd&R Ferdinand Co-Investor, L.P. · Partnerindirect · owns 25% to 50% of Cd&R Ferdinand Holdings, L.P.
- Cd&R Ferdinand Holdings, L.P. · Partnerindirect · owns 50% to 75% of Ferdinand Ffp Ultimate Holdings, LP
- Clayton, Dubilier & Rice Fund Xii, L.P. · Partnerindirect · owns 50% to 75% of Cd&R Ferdinand Holdings, L.P.
- Ferdinand Ffp Acquisition, LLC · Shareholder, Class A Common Stockindirect · owns 75% or more of Focus Financial Partners Inc.
- Ferdinand Ffp Intermediate Holdings, LLC · Memberindirect · owns 75% or more of Ferdinand Ffp Acquisition, LLC
- Ferdinand Ffp Parent, Inc. · Memberindirect · owns 75% or more of Ferdinand Ffp Intermediate Holdings, LLC
- Ferdinand Ffp Ultimate Holdings, LP · Shareholderindirect · owns 75% or more of Ferdinand Ffp Parent, Inc.
- Ferdinand Ffp Ultimate Holdings, LP · Shareholder, Class B Common Stockindirect · owns 75% or more of Focus Financial Partners Inc.
- Focus Financial Partners Inc. · Managing Memberindirect · owns 75% or more of Focus Financial Partners, LLC
- Focus Financial Partners, LLC · Memberindirect · owns 75% or more of Focus Operating, LLC
Related persons
Schedule D 7.A
- Octogone Brickell Opportunity Manager LLCpooled vehicle sponsory
- Octogone Fund Management, Ltd.investment advisern
- Octogone Gestion Sarlinvestment advisern
Advisers that list Octogone Na as a related person
- 122258 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl · principal | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Mar 27, 2026 to Sep 11, 2026
- Private funds · 6 to unsetMar 27, 2026 to Sep 11, 2026
- Succession · false to unsetMar 27, 2026 to Sep 11, 2026
- Accounts · 98 to 97Feb 18, 2026 to Mar 27, 2026
- Advisory activities · 4 to 5Feb 18, 2026 to Mar 27, 2026
- Corporate clients · 58 to 55Feb 18, 2026 to Mar 27, 2026
- HNW clients · 14 to 15Feb 18, 2026 to Mar 27, 2026
- Individual clients · 20 to 21Feb 18, 2026 to Mar 27, 2026
- Assets in custody · $52.6M to $45.0MFeb 18, 2026 to Mar 27, 2026
- Financial planning clients · to 1-10Feb 18, 2026 to Mar 27, 2026
- Discretionary RAUM · $236M to $239MFeb 18, 2026 to Mar 27, 2026
- HNW RAUM · $58.2M to $52.8MFeb 18, 2026 to Mar 27, 2026
- Individual RAUM · $11.6M to $13.6MFeb 18, 2026 to Mar 27, 2026
- Non-discretionary RAUM · $262M to $231MFeb 18, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $43.9M to $45.0MFeb 18, 2026 to Mar 27, 2026
- RAUM · $498M to $470MFeb 18, 2026 to Mar 27, 2026
- Accounts · 92 to 98May 12, 2025 to Dec 23, 2025
- Corporate clients · 47 to 58May 12, 2025 to Dec 23, 2025
- HNW clients · 13 to 14May 12, 2025 to Dec 23, 2025
- Individual clients · 18 to 20May 12, 2025 to Dec 23, 2025
- Discretionary RAUM · $202M to $236MMay 12, 2025 to Dec 23, 2025
- HNW RAUM · $38.5M to $58.2MMay 12, 2025 to Dec 23, 2025
- Individual RAUM · $8.2M to $11.6MMay 12, 2025 to Dec 23, 2025
- Non-discretionary RAUM · $169M to $262MMay 12, 2025 to Dec 23, 2025
- Pooled vehicle RAUM · $47.7M to $43.9MMay 12, 2025 to Dec 23, 2025
- RAUM · $371M to $498MMay 12, 2025 to Dec 23, 2025
- Related bank · true to falseMay 12, 2025 to Dec 23, 2025
- Related broker-dealer · true to falseMay 12, 2025 to Dec 23, 2025
- Related insurance company · true to falseMay 12, 2025 to Dec 23, 2025
- Financial planning clients · unset to Mar 28, 2025 to May 12, 2025
- Accounts · 82 to 92Nov 13, 2024 to Mar 28, 2025
- Advisory employees · 7 to 3Nov 13, 2024 to Mar 28, 2025
- Corporate clients · 48 to 47Nov 13, 2024 to Mar 28, 2025
- HNW clients · 15 to 13Nov 13, 2024 to Mar 28, 2025
- Individual clients · 13 to 18Nov 13, 2024 to Mar 28, 2025
- Assets in custody · $7.9M to $52.6MNov 13, 2024 to Mar 28, 2025
- Employees · 9 to 6Nov 13, 2024 to Mar 28, 2025
- State-registered IARs · 3 to 1Nov 13, 2024 to Mar 28, 2025
- Private funds · 10 to 6Nov 13, 2024 to Mar 28, 2025
- Discretionary RAUM · $204M to $202MNov 13, 2024 to Mar 28, 2025
Signals
7 dated events
- Octogone Na reported RAUM $497.8M, up 34% from $371.4M (2025-05-12 to 2025-12-23)Dec 23, 2025 · RAUM change · derived
- Anita Bustos left Octogone Na for Oac Capital Advisors Llc (registered 2025-03-19)Oct 14, 2024 · Advisor changed firm · fact
- Marie Gabriela Gomez (Chief Compliance Officer) no longer on Schedule A of Octogone Na (listed 2024-07-02, absent 2024-08-14)Aug 14, 2024 · Control person left · inference
- Michelsen Christian Herman (Chief Executive Officer) no longer on Schedule A of Octogone Na (listed 2023-09-26, absent 2024-03-21)Mar 21, 2024 · Control person left · inference
- James Giraldo (Chief Executive Officer) appeared on Schedule A of Octogone NaMar 21, 2024 · Control person joined · fact
- Octogone Na reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 22, 2022 · Succession (Item 4) · fact
- Octogone Na filed its initial SEC registration (Form ADV)Jul 22, 2022 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/octogonegroupreportedpublic record, Form ADV, Sep 17, 2026
- Website
- octogone.ch/en/miamireportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 305-677-9559reportedpublic record, Form ADV, Sep 11, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $470Mderivedfirm 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.
Checking your plan…