Occam Capital Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$67,403,243
Clients
147
6% high-net worth
Advisors
1
of 2 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
147
Very HighAverage account size
$458,525
About
Occam Capital Management provides discretionary investment management and separate hourly investment consulting to individuals, high-net-worth clients, pensions, trusts, and estates, managing roughly $67.4 million across about 147 client relationships. The firm offers portfolio construction across equities and fixed income and can provide limited financial-planning reports on request without charging a separate planning fee.
The investment process blends a top-down analysis of global economic factors with a bottom-up, fundamental value discipline applied across small-, mid-, and large-cap equities, seeking long-term appreciation while maintaining a core of dividend-paying holdings. Its fixed-income approach emphasizes investment-grade instruments, maturity laddering and holding bonds to maturity, while selectively incorporating lower-rated debt when there is an identified potential for credit improvement; the firm generally avoids derivatives and complex hedging strategies.
Noteworthy aspects include a standalone hourly consulting offering distinct from ongoing management and a practice of preparing complimentary income-related reports despite not providing comprehensive financial plans. The firm operates on an institutional custody and trading platform that provides back-office and research support, maintains written proxy-voting and ethics policies, and has a principal who holds the CFP designation.
Client services
Financial planning
Portfolio management
Consulting services-hourly
Expertise
Active portfolio management
Passive / index investing
Fee options
$0 - $1,000,000: 1.00% annually (Equity and Balanced Accounts) $1,000,000+: 0.75% annually (Equity and Balanced Accounts) $0 - $1,000,000: 0.60% annually (Fixed Income Accounts) $1,000,000+: 0.50% annually (Fixed Income Accounts)
$200 per hour for principals; $75 per hour for administrative assistants
Account minimum: $200,000 Fee-only: Investment consulting at $200/hour for principals and $75/hour for assistants
Main office location
Occam Capital Management, LLC
1 Lockwood Drive, Suite 200
Pittsford NY 14534-1742, United States
Number of offices
1
Most active in
Occam Capital Management, LLC has reported serving >5 clients in these states in the last 12 months.
Florida · New York
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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