Excomp Asset Management Ltd

Excomp Asset Management, LTD provides discretionary investment management to individuals (both high-net-worth and non‑HNW), pension and profit‑sharing plans, trusts, estates, charitable organizations and corporations, managing approximately $140,218,941 across about 137 client accounts as of March 31, 2026. The firm primarily implements client portfolios through mutual fund shares and, when appropriate, exchange‑traded funds, and it will execute client‑directed individual security transactions as a convenience without an advisory opinion or advisory fee for those specific trades.

Portfolio supervision is guided by each client’s stated objective (maximum capital appreciation, growth, income or growth and income) and accounts are managed on a discretionary basis. Investment decisions draw on publicly available research (including internet and broadcast media) and selections of third‑party active managers, and the firm uses the Schwab Institutional/OneSource platform for custody, trading and access to institutional fund offerings.

Distinctive operational features include a $250,000 account minimum (negotiable), the use of third‑party solicitors under referral agreements, and a proxy policy that commits the advisor to vote proxies for mutual funds and ETFs it manages while abstaining from voting proxies for client equities that fall outside its management. The firm maintains a written Code of Ethics with pre‑clearance and reporting for personal trading, considers itself to have limited custody because of fee‑debit authority, and discloses receipt of Schwab‑provided research and technology services despite reporting no formal soft‑dollar arrangements.