Occam Capital

Recommendations begin by combining a top-down economic overview with a bottom-up process using traditional methods of financial analysis to select individual securities

• Balance of Trade Data Due to Federal Securities and Exchange Commission regulations, we provide performance data as requested on an individual basis Performance inquiries can be directed to Occam Capital® at 585-218-0310 or by emailing Occam Capital® Management, LLC

Client Annual Fee Schedule

• Our annual rates are negotiated, but subject to a minimum annual fee of $1,200
• Nonetheless, we may waive the minimum annual fee based on circumstances that we deem pertinent
• For the purpose of calculating the minimum annual fee, related advisory accounts (i
• e
• , families or members of the same household, etc) are treated as one account
• All fees are paid quarterly in advance based upon the market value of the assets at the end of each quarter
• Occam Capital ® Management, LLC retains the right to negotiate the fee schedule

EQUITY & BALANCED ACCOUNTS

1 00% of the first $1,000,000 75% in excess of $1,000,000

60% of the first $1,000,000 50% in excess of $1,000,000 Occam Capital® Managment, LLC is registerd as an investment adviser with the Securities and Exchange Commission Brokerage and investment advisory services and fees differ and it is important for you to understand these differences Please download and review form CRS by selecting View Fullscreen

Ms Baker Jones has over 30 years of experience in the financial services business Prior to forming Occam Capital® Management, she was vice-president, equity strategist/researcher and an equity, fixed income and balanced portfolio manager at GeoVest Advisors, Inc Prior thereto, Ms Baker Jones was a Financial Planner at Prudential Bache Securities and a branch manager at Manufacturers Hanover Trust Company

Ms Baker Jones attended the M B A program at the University of Rochester and holds a B A in International Studies from Ohio State University She holds the Certified Financial Planner (CFPTM) designation, and has served two non-consecutive terms as President of the Chartered Financial Analyst (CFA) Society of Rochester

Ms Sabha is responsible for Client Service and Operations for the firm

Prior to joining Occam Capital®, Ms Sabha had 11 years' experience as office manager and tax professional at the Premium H&R Block Penfield Office Ms Sabha was responsible for all office operations as well as supervising and training of all tax office associates

Prior thereto, Ms Sabha retired after 30 years' as National Account Executive for Lucent Technologies, formerly known as AT&T