Occam Capital

What Occam Capital does

Occam Capital® Management LLC is a privately held, SEC-registered investment advisor headquartered at 1 Lockwood Drive, Suite 200, Pittsford, New York. The firm provides fee-based discretionary portfolio management and advisory services to individuals, high net-worth individuals, non-profit organizations, and businesses, employing a long-term value approach that combines top-down macroeconomic analysis (fiscal and monetary policy, balance of trade, relative currency strength) with bottom-up security selection using traditional valuation screening ratios — Price/Earnings, Price/Sales, Price/Cash Flow, and Fixed Charges Coverage. The service set covers large-capitalization domestic and international equities, investment-grade taxable and tax-exempt fixed income, balanced accounts, and project-based advisory consultations.

Revenue is generated entirely through recurring asset-based advisory fees billed quarterly in advance: 1.00% on the first $1 million for equity and balanced accounts (declining to 0.75% above), and 0.60% on the first $1 million for fixed income accounts (declining to 0.50% above). The firm retains the right to negotiate fees and may waive the minimum annual fee. Distribution is conducted exclusively through direct client relationships managed by SEC-registered investment advisor representatives, supported by a "Keep It Simple" newsletter content series.

The firm is independently owned and operated by its principals, with no disclosed subsidiaries, external institutional backing, parent company, partnerships, or M&A activity. The team consists of Managing Director and founder Priscilla Baker Jones, CFP™ (30+ years industry experience, two-term past President of the CFA Society of Rochester), and Operations Manager Linda C. Sabha. Operations are GLBA/Reg S-P compliant, and the firm has no disclosed AI/ML capabilities, technology platform investments, funding rounds, or geographic footprint beyond its New York base.

Name

Occam Capital

Legal name

Occam Capital® Management LLC

Website

https://occamcapital.com

Company type

Private

Operating status

Operating

Short description

Occam Capital Management LLC is an SEC-registered investment advisor in Pittsford, NY, providing fee-based portfolio management and advisory services to individuals, high net-worth individuals, non-profit organizations, and businesses using a long-term value approach.

Ownership category

akta.pro rank

Product category

Investment Advisory Services

NAICS

Portfolio Management and Investment Advice (523940)

SIC

Investment Advice (6282)

akta.pro primary industry

Advisory Portfolio Management (Non-Discretionary) (FSAAABAD)

akta.pro secondary industry

Large-Cap Equity (Active) (FSAAAIAA)

Keywords

• Investment advisory services
• Portfolio management
• Wealth management
• Asset management
• Financial planning

Headquarters

HQ city

Pittsford

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Operations, Others, Marketing or Sales, Technology or R&D

Revenue model

1. Advisory Fee - Equity & Balanced Accounts: Annual advisory fees charged as a percentage of assets under management for equity and balanced investment accounts. Fee is 1.00% on the first $1,000,000 and 0.75% on amounts exceeding $1,000,000. Fees are paid quarterly in advance based on market value at quarter end.
2. Advisory Fee - Fixed Income Accounts: Annual advisory fees for fixed income investment accounts at 0.60% on the first $1,000,000 and 0.50% on amounts exceeding $1,000,000. Fees paid quarterly in advance.
3. Project-Based Advisory Consultations: Project-based advisory consultations for clients seeking specific financial guidance beyond ongoing portfolio management.

Pricing tiers

Go-to-market motion1 record

Distribution channels1 record

Marketing channels2 records

Core offering

Occam Capital Management LLC provides discretionary and non-discretionary investment management services to individuals, non-profit organizations, and businesses using a long-term value approach in large-capitalization domestic and international equities and investment-grade taxable and tax-exempt bonds. The firm combines top-down macroeconomic analysis with bottom-up security selection using valuation screening ratios, and supplements portfolio management with long-term strategy planning and project-based advisory consultations.

Product overview

Occam Capital Management LLC is a registered investment advisor offering a unified suite of investment management services. The firm provides portfolio management combining bottom-up financial analysis using valuation screening ratios (Price/Earning, Price/Sales, Price/Cash Flow, Fixed Charges Coverage) with top-down economic outlook analysis. Services include long-term strategy planning tailored to individual client circumstances (tax situation, cash flow, risk tolerance, time horizon) and project-based advisory consultations for individuals, high net-worth individuals, non-profit organizations, and businesses. The firm manages equity and balanced accounts as well as fixed income accounts with a fee schedule based on assets under management.

Differentiator

Problem solved

Functional benefit

Products and services

• Investment Management Services Discretionary and non-discretionary portfolio management for individuals, high net-worth individuals, non-profit organizations, and businesses across large-capitalization domestic and international equities and investment-grade taxable and tax-exempt bonds, applying a long-term value approach.
• Project-Based Advisory Consultations Project-based advisory engagements for individuals, non-profit organizations, and businesses seeking specific financial guidance beyond ongoing portfolio management to support long-term financial goals.
• Long-Term Strategy Planning Customized long-term investment strategy development based on each client's tax situation, cash flow, total return objectives, time horizon, and risk tolerance.

Segments3 records

Ideal customer profiles3 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Feature3 records

Scale indicators2 records

Recent moves4 records

Expansion highlights3 records

Broad incumbents

• Creative Planning: Large fee-only RIA offering comprehensive wealth management for HNW individuals and institutions. Comparable client segment and fee-only fiduciary model, but operates at much greater scale and broader service scope than Occam.
• Edelman Financial Engines: Large hybrid RIA combining personal advisor relationships with technology-driven portfolio management for individuals and retirement-plan participants. Competes for the same individuals and HNW segment as Occam.
• Fisher Investments: Large active-equity-focused RIA managing global portfolios for HNW and institutional clients. Comparable long-term active equity emphasis but with substantially more resources and global reach.
• Mariner Wealth Advisors: Large national RIA providing fee-based investment advisory, retirement plan, and tax planning for HNW clients. Overlaps with Occam on HNW advisory and AUM-based recurring fees, but with significantly broader resources.
• Charles Schwab Investment Advisory: Schwab's managed-portfolio and Schwab Wealth Advisory offerings compete with Occam for individual and HNW investors, with similar AUM-based pricing but at lower fees and vastly greater scale.
• Vanguard Personal Advisor Services: Vanguard's hybrid robo-plus-advisor service offering ongoing portfolio management for individuals and HNW at materially lower fees. Direct competitor pressuring Occam's AUM-based pricing.

Emerging players

• Betterment: Leading U.S. digital RIA/robo-advisor targeting individuals and HNW with low-fee automated portfolio management. Competes for the same end-client wallet at fee levels that compress incumbent RIA economics.

Direct peers

• Manning & Napier: Rochester/Fairport, NY-area registered investment advisor with active equity and fixed-income strategies for individual and institutional clients. Highly comparable to Occam by geography, product focus, and long-term value approach.
• Buckingham Strategic Wealth: Fee-only registered investment advisor serving individuals, HNW clients, and retirement-plan participants with research-driven portfolio management. Closely matches Occam's client focus, fee-only structure, and goal-based planning orientation.
• GeoVest Advisors: Equity strategist and balanced portfolio manager where Occam's founder previously served. Comparable investment philosophy (top-down macro overlay with active equity and fixed-income management) for individual clients.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat3 records

Key risks6 records

Key highlights7 records

Customer concentration

Compliance1 record

Revenue estimate

Valuation estimate

Number of profiles

Profiles2 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments2 records

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Occam Capital