Occam Capital Management, LLC (Pittsford)
Occam Capital Management, LLC is a mid-sized advisory firm based in Pittsford. It manages $57.42 million of regulatory assets for 220 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Florida and New York.
Occam Capital Management provides portfolio management for individuals and small businesses and consulting services-hourly. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.
Occam Capital Management: assets under management
The assets under management (AUM) of Occam Capital Management, LLC is $57.42 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 64% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.
Investments
The firm invests in exchange traded securities the most. They account for 72% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 23% of the firm’s portfolio. Investments in investment grade corporate bonds form 4% of the total invested assets.Fees & Commissions
The advisory firm has several streams of revenue. Clients pay Occam Capital Management, LLC for their services and products based on a percentage of assets under management and hourly charges. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
What kind of clients Occam Capital Management serves?
The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Occam Capital Management is high net worth individuals with 84 clients and $28.46 million of assets under management. Among the 2 most similar advisory firms, Occam Capital Management has the lowest percentage of high net worth individuals out of all clients.
The amount of regulatory assets under management is $57.42 million for 220 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.
Occam Capital Management doesn't advise any private funds.
Careers at Occam Capital Management, LLC
The company employs 2 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.
There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.
Direct owners and executive officers
Based in Pittsford
The principal office where Occam Capital Management, LLC performs its advisory services is located at 1303 Marsh Road, Ste 4, Pittsford, NY 14534 1742, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 585-218-0310 or by fax 585-218-0338. The normal business hours are 8:00am-5:00pm on Monday - Friday. You can find more information about the New York firm at occamcapital.com.
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