{
  "crd_number": 108201,
  "slug": "occam-capital-management-llc-pittsford-ny-108201",
  "primary_business_name": "OCCAM CAPITAL MANAGEMENT, LLC",
  "legal_name": "OCCAM CAPITAL MANAGEMENT, LLC",
  "dbas": [],
  "city": "Pittsford",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "40380",
  "metro": {
    "cbsa_code": "40380",
    "common_name": "Rochester",
    "msa_name": "Rochester, NY",
    "path": "/advisors/ny/rochester"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2001-04-03",
  "years_registered": 25,
  "period": "2026-10-01",
  "filing_date": "2026-03-27",
  "carried_forward": false,
  "raum_total": 67403243.0,
  "raum_discretionary": 67403243.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "25m_100m",
  "raum_band_label": "$25 million to $100 million",
  "total_employees": 2,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 43067588.0,
      "count": 138
    },
    "high_net_worth_individuals": {
      "raum": 24335655.0,
      "count": 9
    }
  },
  "compensation_types": [
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "other",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "FL",
    "NY"
  ],
  "websites": [
    "https://occamcapital.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/108201",
  "city_as_filed": "PITTSFORD",
  "url": "https://advisorcensus.com/firm/occam-capital-management-llc-pittsford-ny-108201",
  "display_name": "Occam Capital Management, LLC",
  "summary": "Occam Capital Management, LLC is an SEC-registered investment advisory firm in Pittsford, NY, registered since 2001, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 27, 2026.",
  "citation": "AdvisorCensus. Occam Capital Management, LLC (CRD 108201): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Occam Capital Management, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Occam Capital Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges."
    },
    {
      "q": "How much does Occam Capital Management, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated March 27, 2026 states: Hourly rate: $200 an hour (research and advice by principals). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Occam Capital Management, LLC located?",
      "a": "Occam Capital Management, LLC's principal office is in Pittsford, NY, according to its Form ADV."
    },
    {
      "q": "Is Occam Capital Management, LLC registered with the SEC or a state?",
      "a": "Occam Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2001. Status as filed: Approved. CRD 108201."
    },
    {
      "q": "How much does Occam Capital Management, LLC manage?",
      "a": "Occam Capital Management, LLC reports $67,403,243 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (100% discretionary)."
    },
    {
      "q": "How have Occam Capital Management, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Occam Capital Management, LLC: Regulatory assets under management: $64,349,820 in the October 2021 data and $67,403,243 in the October 2026 data, up 5%. Total employees: 2 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Occam Capital Management, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (138); high net worth individuals (9)."
    },
    {
      "q": "Which custodians does Occam Capital Management, LLC use?",
      "a": "Occam Capital Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Occam Capital Management, LLC report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/108201"
    },
    {
      "q": "Does Occam Capital Management, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 27, 2026 says: \"Occam Capital® prefers a portfolio minimum of $200,000 for new client engagements. Nonetheless, we reserve the right to waive or reduce the minimum account value based on other criteria\""
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 64349820.0,
      "total_employees": 2,
      "filing_date": "2021-03-22"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 66730100.0,
      "total_employees": 2,
      "filing_date": "2022-09-29"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 67354921.0,
      "total_employees": 2,
      "filing_date": "2023-03-30"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 67535605.0,
      "total_employees": 2,
      "filing_date": "2024-03-28"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 65924747.0,
      "total_employees": 2,
      "filing_date": "2025-04-08"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 67403243.0,
      "total_employees": 2,
      "filing_date": "2026-03-27"
    }
  ],
  "recent_changes": [],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 27, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$200,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Hourly rate: $200 an hour (research and advice by principals)"
    ],
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $200,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "Occam Capital® prefers a portfolio minimum of $200,000 for new client engagements. Nonetheless, we reserve the right to waive or reduce the minimum account value based on other criteria"
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $200 an hour (research and advice by principals)"
        ],
        "quotes": [
          "We charge $200 per hour for research and advice by principals and $75 per hour for administrative tasks by assistants."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 200000.0,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "hourly",
          "amount": 200.0,
          "min": null,
          "max": null,
          "period": "hour",
          "service": "research and advice by principals"
        }
      ]
    },
    "quotes": [
      "Occam Capital® prefers a portfolio minimum of $200,000 for new client engagements. Nonetheless, we reserve the right to waive or reduce the minimum account value based on other criteria",
      "We charge $200 per hour for research and advice by principals and $75 per hour for administrative tasks by assistants."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/occam-capital-management-llc-pittsford-ny-108201.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 138,
      "fewer_than_5": false,
      "raum": 43067588.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 9,
      "fewer_than_5": false,
      "raum": 24335655.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/108201",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}