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OCCAM CAPITAL MANAGEMENT, LLC

A75
CRD 108201·SEC 801-60137·PITTSFORD, NY
AUM
$67.4M
$25M-$100M
Est. Revenue
$674K
@ 1% on AUM
Est. EBITDA
$202K
@ 30% margin
Est. Deal Value
$1.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
OCCAM CAPITAL MANAGEMENT, LLC
CRD
108201
SEC file #
801-60137
EIN
—
DBA names
—

Economics

AUM
$67.4M
AUM band
$25M-$100M
AUM trajectory
'20'26
$57.4M → $67.4M▲ +17%
Client mix
Individuals Other138
Individuals High Net Worth9

Operations

Employees (total)
2
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'20'26
1 advisors → 1 advisors▬ 0%
Primary office
PITTSFORD NY
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsOther Advisory Services
Fee basis
% of AUMHourly charges

Filings

Latest ADV filing
03/27/2026
ADV-W filed at
—
Website
occamcapital.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
BAKER JONES, PRISCILLA, ANNE
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
BAKER JONES, PRISCILLA, ANNE
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
OCCAMCAPITAL.COM
Rdap Domain Creation Date
1999-08-03T20:43:50Z
Rdap Firm Age Years
27
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
Charles Schwab6
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2030-08-03T20:43:44Z
Rdap Domain Last Changed
2025-06-04T13:36:17Z
Rdap Nameservers
Ns10.worldnic.comNs9.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
1232140
Trust Company Affiliate
No

People (1)

1
BAKER JONES, PRISCILLA, ANNE
IAR · Direct Owner · 87.5%
1232140