Asset manager · Miami, FL
Octogone NA
Octogone NA, LLC · SEC-registered investment adviser · CRD 322478 · SEC 801-126432
At a glance
Octogone NA is an SEC-registered investment adviser based in Miami, Florida, with $470 million in regulatory assets under management as of its Form ADV filed September 11, 2026. Its largest client group by assets is corporations or other businesses, and it reports 36 individual clients. By Form ADV it is a asset manager, ranked 1,717th of 3,218 asset managers and 8,081st of 17,210 SEC-registered advisers by assets.
Main office 305-677-9559octogone.chLinkedInAs filed on Form ADV
- Regulatory AUM
- $470M
- Rank among asset managers
- #1,717 of 3,218
- Rank among all SEC RIAs
- #8,081 of 17,210
- Rank in Florida
- #440 of 1,090
- Individual clients
- 36
- High-net-worth clients
- 15
- Accounts
- 97
- Discretionary
- 51% of AUM
- Employees
- 6
- Advisory staff
- 3
- Offices
- 1
Owners and executives on its Form ADV
- James N. GiraldoChief Executive Officer
- James N. GiraldoChief Compliance Officer
- Xavier R. EsteveExecutive Officer
- Ivan N. PeruffoExecutive Officer
- Francois N. AuditoreExecutive Officer
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Corporations or other businesses | 55 | $358M | 76% |
| High-net-worth individuals | 15 | $53M | 11% |
| Pooled investment vehicles | 6 | $45M | 10% |
| Individuals | 21 | $14M | 3% |
Private funds
Octogone NA reports 6 private funds with $20M in gross assets: hedge funds, real estate funds (Form ADV Item 7.B).
Disciplinary disclosures
Octogone NA reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Other services
How it’s paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗octogone.ch ↗
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The full record on Octogone NA
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 3 years of filings
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- Growth over one, three and five years
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- Rank against 994 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Octogone NA manage?
Octogone NA reports $470 million in regulatory assets under management across 97 accounts, 51% of it on a discretionary basis, on its Form ADV filed September 11, 2026.
What kind of firm is Octogone NA?
Octogone NA is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Octogone NA’s clients?
By assets, its largest client types are corporations or other businesses ($358 million, 55 clients); high-net-worth individuals ($53 million, 15 clients); pooled investment vehicles ($45 million, 6 clients).
Does Octogone NA manage private funds?
Yes. It reports 6 private funds with $20 million in gross assets, including hedge funds, real estate funds.
Does Octogone NA have any disciplinary history?
Octogone NA reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Octogone NA’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-11), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →