Founder/managing Partner · Octagon Asset Management, LLC
Caldwell M. Welles
CRD 2137334 · Named on Form ADV at one SEC-registered adviser
At a glance
Octagon Asset Management, LLC, an SEC-registered asset manager based in Charlotte, NC with $221 million in regulatory assets, lists Caldwell M. Welles on its Form ADV as Founder/managing Partner, a control person.
Firms and roles
- Octagon Asset Management, LLCFounder/managing PartnerAsset manager · Charlotte, NC · $221M in regulatory assets
AtlasMembers
Caldwell’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
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- Each firm’s assets and growth
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Colleagues named on the same filings
- John E. HeykeChief Compliance Officer, Octagon Asset Management, LLC
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Caldwell’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.