# Occam Capital Management, LLC

> 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.

- CRD: 108201
- Filed as: OCCAM CAPITAL MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Pittsford, NY
- Filing period: October 2026
- Form ADV filing dated: March 27, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/108201
- AdvisorCensus page: https://advisorcensus.com/firm/occam-capital-management-llc-pittsford-ny-108201

## Quick answers

**How is Occam Capital Management, LLC compensated?**
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.

**Where is Occam Capital Management, LLC located?**
Occam Capital Management, LLC's principal office is in Pittsford, NY, according to its Form ADV.

**Is Occam Capital Management, LLC registered with the SEC or a state?**
Occam Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2001. Status as filed: Approved. CRD 108201.

**How much does Occam Capital Management, LLC manage?**
Occam Capital Management, LLC reports $67,403,243 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (100% discretionary).

**How have Occam Capital Management, LLC's assets and staff changed since 2021?**
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.

**What types of clients does Occam Capital Management, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (138); high net worth individuals (9).

**Which custodians does Occam Capital Management, LLC use?**
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.

**Does Occam Capital Management, LLC report any disciplinary disclosures?**
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

**Does Occam Capital Management, LLC state an account minimum?**
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"

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges

### Fees and minimums (Form ADV Part 2A brochure dated March 27, 2026)

- Account minimum: $200,000 (the brochure says it may be waived or negotiated)

> 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

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $67,403,243
- Discretionary: $67,403,243
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 138 | $43,067,588 |
| High net worth individuals | 9 | $24,335,655 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Other

### Firm details
- Registered since: 2001 (25 years)
- Employees: 2 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- occamcapital.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $64,349,820 | 2 | March 22, 2021 |
| October 2022 | $66,730,100 | 2 | September 29, 2022 |
| October 2023 | $67,354,921 | 2 | March 30, 2023 |
| October 2024 | $67,535,605 | 2 | March 28, 2024 |
| October 2025 | $65,924,747 | 2 | April 8, 2025 |
| October 2026 | $67,403,243 | 2 | March 27, 2026 |

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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Occam Capital Management, LLC (CRD 108201): Form ADV filing data as of October 2026.