OCTAGON CREDIT INVESTORS, LLC
Latest filing: Apr 21, 2025 (70 days ago)
AUM
$34,267,659,827
-3% change vs. 1 year ago
10% change vs. 3 years ago
32% change vs. 5 years ago
207% change vs. 10 years ago
Employee Count
92
7% change vs. 1 year ago
11% change vs. 3 years ago
35% change vs. 5 years ago
104% change vs. 10 years ago
Main Office
NEW YORK, NY
250 PARK AVENUE, NEW YORK, NY, UNITED STATES, 10177
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $34.2 |
| Non-Discretionary | $0.0 |
| Total | $34.3 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $30.9 |
| Institutional | $3.3 |
| Total | $34.3 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| THE BANK OF NEW YORK MELLON TRUST COMPANY, NATIONAL ASSOCIATION | HOUSTON-TX-USA | $1.0 |
| STATE STREET | BOSTON-MA-USA | $0.6 |
| CREDIT SUISSE FUNDS AG | ZURICH--CHE | $0.5 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $3.3 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $3.3 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 1% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 1% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 48% | $1.6 |
| Cash | 5% | $0.2 |
| Other | 45% | $1.5 |
| Total | 100% | $3.3 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| CONNING, INC. | $99.5 | 107423 | |
| PREP INVESTMENT ADVISERS, L.L.C. | $1.0 | 296631 | |
| GOODWIN CAPITAL ADVISERS, INC. | $0.9 | 108290 | |
| GLOBAL EVOLUTION USA, LLC | $0.8 | 161677 | |
| CONNING INVESTMENT PRODUCTS, INC. | $0.5 | broker-dealer | 120387 |
| CONNING ASIA PACIFIC LIMITED (HONG KONG) | $0.0 | broker-dealer | - |
| CATHAY SECURITIES INVESTMENT TRUST CO., LTD. | $0.0 | broker-dealer | - |
| CONNING ASSET MANAGEMENT LTD. (UK) | $0.0 | broker-dealer | - |
| OCTAGON FUNDS GP LLC | $0.0 | - | |
| OCTAGON CREDIT OPPORTUNITIES GP, LLC | $0.0 | - | |
| GLOBAL EVOLUTION FONDSMAEGLERSELSKAB A/S | $0.0 | - | |
| GLOBAL EVOLUTION MANCO SA | $0.0 | - | |
| OCTAGON FUNDS GP II LLC | $0.0 | - | |
| OCTAGON FUNDS GP III LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
21 active
| Name | Title |
|---|---|
| GORDON, ANDREW, DAVID | EXECUTIVE CHAIR, BOARD MEMBER |
| NECHAMKIN, MICHAEL, BENNETT | CIO, SR PORTFOLIO MANAGER, AND BOARD MEMBER |
| DUDZIK, JOHN, ANDREW | MANAGING DIRECTOR - BUSINESS & PRODUCT DEVELOPMENT |
| MOHR, GRETCHEN, MAE | CHIEF EXECUTIVE OFFICER, BOARD MEMBER |
| JULIAN, MARGARET, ANNE | CHIEF RISK OFFICER, CHIEF COMPLIANCE OFFICER |
| SEGA, RICHARD, LOUIS | BOARD MEMBER |
| BRADFORD, LINWOOD, EARLE | CHAIRMAN / BOARD MEMBER |
| LEE, JUNG, WON | BOARD MEMBER |
| DORMENT, GEOFFREY, CUNNIFF | GENERAL COUNSEL |
| LAW, LAUREN, KRISTEN | SENIOR PORTFOLIO MANAGER |
| BOGER, MAEGAN, GALLAGHER | HEAD OF TRADING AND CAPITAL MARKETS, HEAD OF STRATEGIC INITIATIVES |
| GLEASON, SEAN, MICHAEL | PORTFOLIO MANAGER |
| HARTZBAND, MERYL, DEBORAH | BOARD MEMBER |
| ADAR, AMY, SEMIHA | CHIEF FINANCIAL OFFICER |
| MCDERMOTT, DOUGLAS, JOHN | CHIEF OPERATING OFFICER, HEAD OF INVESTOR SOLUTIONS |
ADVDB.CO • SOURCE: SEC
Representatives
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-06-02 | $34.3 | $0.0 | 0% | 92 | 0 | 0% |
| 2025-04-21 | $34.3 | $0.0 | 0% | 92 | 0 | 0% |
| 2024-04-02 | $35.4 | -$1.1 | -3% | 86 | 6 | 7% |
| 2023-04-04 | $34.3 | $0.0 | 0% | 81 | 11 | 14% |
| 2022-04-01 | $31.2 | $3.1 | 10% | 83 | 9 | 11% |
| 2021-04-05 | $27.1 | $7.1 | 26% | 75 | 17 | 23% |
| 2020-04-01 | $25.9 | $8.4 | 32% | 68 | 24 | 35% |
| 2019-04-01 | $22.2 | $12.0 | 54% | 67 | 25 | 37% |
| 2018-04-02 | $19.1 | $15.2 | 80% | 60 | 32 | 53% |
| 2017-04-01 | $15.5 | $18.7 | 121% | 54 | 38 | 70% |
| 2016-04-01 | $12.8 | $21.5 | 167% | 49 | 43 | 88% |
| 2015-04-01 | $11.2 | $23.1 | 207% | 45 | 47 | 104% |
| 2014-04-01 | $8.2 | $26.1 | 319% | 37 | 55 | 149% |
| 2013-04-01 | $6.0 | $28.3 | 470% | 32 | 60 | 188% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| NY, NY-12/19/2011 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV