{"url":"https://nivawealth.com/firms/octo-capital-174351","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/174351","regulatoryAum":164951253,"crd":"174351","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4148417","suffix":null,"lastName":"SHUB","firstName":"DANIEL","middleName":"B"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-03-28","regulatoryAum":140738222,"clients":136,"employees":1,"offices":1},{"filedOn":"2026-02-02","regulatoryAum":164951253,"clients":136,"employees":1,"offices":1}],"secFileNumber":"801-131442","legalName":"Octo Capital, LLC","displayName":"Octo Capital","slug":"octo-capital-174351","website":"https://octo-capital.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Michigan limited liability company","fiscalYearEnd":"December","headquarters":{"street":"31600 Telegraph Road, Suite 200","city":"Bingham Farms","state":"MI","stateName":"Michigan","country":"United States","postalCode":"48025"},"tradeNames":[],"registration":{"secApproved":"8 November 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1220790.874074074,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":164951253,"discretionary":162167767,"discretionaryAccounts":481,"nonDiscretionary":2783486,"nonDiscretionaryAccounts":6,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":59,"regulatoryAum":19652085},{"label":"High-net-worth individuals","clients":76,"regulatoryAum":145154683},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":144485}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T15:05:57.046507+00:00","documents":[{"name":"OCTO CAPITAL FORM ADV PART 2A 2-2-2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1005742","versionId":1005742,"submittedOn":"2026-02-02"}]},"custodians":[{"name":"Charles Schwab & Co, Inc","shortName":"Charles Schwab","location":"El Paso, TX","smaAssets":140738222}],"custodyNote":"Octo Capital does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Daniel Shub","title":"Chief Executive Officer/Chief Compliance Officer/Managing Member","crd":"4148417"}],"ownership":[{"label":"Daniel Shub","detail":"Chief executive officer/chief compliance officer/managing member in the 75% or more ownership band and a control person, since June 2013."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Michigan","offices":1,"addresses":[{"street":"31600 Telegraph Road, Suite 200","city":"Bingham Farms","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"248-731-7729","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"101-250","assetMix":[{"label":"Securities issued by registered investment companies or business development companies","percent":98},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"2 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/174351/PDF/174351.pdf","brochureDate":"2 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1005742","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Octo Capital have?","answer":"Octo Capital has 136 clients and manages $165 million for them, as of February 2026. They include 76 high-net-worth individuals, 59 individual clients and 1 charitable organization.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 2 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Octo Capital offer?","answer":"Octo Capital provides financial planning and portfolio management for individuals and small businesses.","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 Octo Capital use?","answer":"Octo Capital’s separately managed account assets are held at Charles Schwab & Co, Inc (El Paso, TX), with $141M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 2 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Octo Capital have?","answer":"Octo Capital has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","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 Octo Capital invest in?","answer":"At the end of its last fiscal year, Octo Capital’s separately managed accounts held 98% registered funds (mutual funds, ETFs, BDCs) and 2% cash and equivalents.","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 Octo Capital?","answer":"Octo Capital’s direct owner is Daniel Shub (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 2 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Octo Capital get paid?","answer":"Octo Capital is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees 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"}},{"question":"How do I contact Octo Capital?","answer":"Octo Capital’s main office is at 31600 Telegraph Road, Suite 200, Bingham Farms, MI 48025. Its phone number is 248-731-7729. Its website is octo-capital.com.","source":"Form ADV Part 1A, Item 1.F, filed 2 February 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"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 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."}