{"url":"https://nivawealth.com/firms/octagon-credit-investors-155336","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/155336","regulatoryAum":35050029659,"crd":"155336","secFileNumber":"801-71998","legalName":"Octagon Credit Investors, LLC","displayName":"Octagon Credit Investors","website":"http://www.octagoncredit.com","linkedinUrl":"https://www.linkedin.com/company/octagon-credit-investors","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"250 Park Avenue, 15th Floor","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10177"},"tradeNames":[],"registration":{"secApproved":"3 January 2011","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":100,"advisory":43,"brokerDealerReps":16,"insuranceAgents":0,"promoters":4},"aum":{"discretionary":35050029659,"discretionaryAccounts":132,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":59,"nonAumClients":1},"clientTypes":[{"label":"Investment companies","clients":2,"regulatoryAum":728936295},{"label":"Pooled investment vehicles","clients":81,"regulatoryAum":30898414403},{"label":"Pension and profit-sharing plans","clients":null,"regulatoryAum":1603053125},{"label":"Insurance companies","clients":45,"regulatoryAum":1771133015},{"label":"Corporations and other businesses","clients":null,"regulatoryAum":48492821}],"fees":[],"feeNotes":[],"custodians":[{"name":"The Bank of New York Mellon Trust Company, National Association","shortName":"The Bank of New York Mellon Trust Company, National Association","location":"Houston, TX","smaAssets":847021495},{"name":"The Northern Trust International Banking Corporation","shortName":"The Northern Trust International Banking","location":"Chicago, IL","smaAssets":243831212},{"name":"State Street Bank and Trust Company","shortName":"State Street Bank and Trust","location":"Boston, MA","smaAssets":285416792}],"custodyNote":"Octagon Credit Investors has custody of $2.91B for 17 clients.","otherCustodians":[],"leadership":[{"name":"Gretchen Mohr","title":"Chief Executive Officer, Board Member","crd":"5852294"},{"name":"Amy Adar","title":"Chief Financial Officer","crd":"7677016"},{"name":"Douglas McDermott","title":"Chief Operating Officer, Head of Investor Solutions Group","crd":"4566187"},{"name":"Cheryl Zabala","title":"Chief Compliance Officer","crd":"6123999"},{"name":"Maegan Boger","title":"Head of Trading and Capital Markets, Head of Strategic Initiatives","crd":"7238146"},{"name":"Linwood Bradford","title":"Board Member","crd":"4179446"},{"name":"Geoffrey Dorment","title":"General Counsel","crd":"5729924"},{"name":"Sean Gleason","title":"Senior Portfolio Manager","crd":"5685187"},{"name":"Andrew Gordon","title":"Senior Advisor, Board Member","crd":"2351269"},{"name":"Meryl Hartzband","title":"Board Member","crd":"5888699"},{"name":"Lauren Law","title":"Senior Portfolio Manager","crd":"6931449"},{"name":"Jung Lee","title":"Board Member","crd":"2791334"},{"name":"Michael Nechamkin","title":"Chief Investment Officer, Board Member","crd":"2112762"},{"name":"Richard Sega","title":"Board Member","crd":"2241037"},{"name":"Sean Sullivan","title":"Head of Private Credit","crd":"4840531"}],"ownership":[{"label":"Conning & Company","detail":"Member in the 75% or more ownership band and a control person, since February 2016."},{"label":"Conning Holdings Corp","detail":"Indirect owner: a shareholder of Conning & Company in the 75% or more band and a control person, since February 2016.","parent":"Conning & Company"},{"label":"Conning U.S. Holdings, Inc.","detail":"Indirect owner: a shareholder of Conning Holdings Corp in the 75% or more band and a control person, since February 2016.","parent":"Conning Holdings Corp"},{"label":"Conning Holdings Limited","detail":"Indirect owner: a shareholder of Conning U.S. Holdings, Inc. in the 75% or more band and a control person, since February 2016.","parent":"Conning U.S. Holdings, Inc."},{"label":"Generali Investments Holding S.P.A.","detail":"Indirect owner: a shareholder of Conning Holdings Limited in the 75% or more band and a control person, since April 2024.","parent":"Conning Holdings Limited"},{"label":"Assicurazioni Generali S.P.A.","detail":"Indirect owner: a shareholder of Generali Investments Holding S.P.A. in the 75% or more band and a control person, since April 2024.","parent":"Generali Investments Holding S.P.A."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"250 Park Avenue, 15th Floor","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-400-8400","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":69},{"label":"Cash and cash equivalents","percent":3},{"label":"Other","percent":28,"detail":"Loans, Other Receivables, Liabilities"}],"privateFunds":59},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/155336/PDF/155336.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Octagon Credit Investors have?","answer":"Octagon Credit Investors has 128 clients and manages $35.1 billion for them, as of March 2026. They include 81 pooled investment vehicles, 45 insurance companies and 2 investment companies.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Octagon Credit Investors offer?","answer":"Octagon Credit Investors provides portfolio management for investment companies, portfolio management for pooled vehicles and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Octagon Credit Investors use?","answer":"Octagon Credit Investors’ separately managed account assets are held at The Bank of New York Mellon Trust Company, National Association (Houston, TX), with $847,021,495, State Street Bank and Trust Company (Boston, MA), with $285,416,792 and The Northern Trust International Banking Corporation (Chicago, IL), with $243,831,212. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Octagon Credit Investors have?","answer":"Octagon Credit Investors has 0 investment adviser representatives registered with state securities authorities, out of 100 employees, and 43 perform investment advisory functions. 16 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Octagon Credit Investors invest in?","answer":"At the end of its last fiscal year, Octagon Credit Investors’ separately managed accounts held 69% pooled vehicles (private funds and similar), 28% loans, other receivables, liabilities and 3% cash and equivalents. It advises 59 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Octagon Credit Investors?","answer":"Octagon Credit Investors is owned through a chain of holding companies by Assicurazioni Generali S.P.A. Its direct owner is Conning & Company (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Octagon Credit Investors get paid?","answer":"Octagon Credit Investors is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}