Legal Notices
Updated: May 21, 2025
OCM has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information in our Business Continuity Plan.
Responsibility
The Chief Compliance Officer (CCO) is responsible for creating and maintaining OCM's immediate and long-term contingency planning and recovery procedures that are appropriate to the scale and scope of OCM's business.
Notification of Proper Authorities
After an emergency has been declared, the CCO or designee will notify the proper regulatory authorities of the nature of the emergency and the temporary location of the firm. Additionally, the same party will notify the local public utilities, the telephone company, the post office and any other vendor as deemed necessary.
Telephone Service
In the event an emergency has been declared, our phone system will still be fully functioning. You can reach us at our regular phone number:
805-409-8150
Temporary Operation Location/Recovery Site
If the primary office is inaccessible, OCM will relocate temporarily to a remote office outside of the affected emergency area. Client data is easily accessible at any remote location with Internet access, as client data, including e-mail correspondence and pertinent books and records, are backed up every 60 minutes to a storage device on premises. Backups are also encrypted and replicated off-site to a secure cloud repository that is distributed across multiple geographic locations. These cloud backups can be restored within a few hours to allow for retrieval of client records when the primary office location is not accessible.
Client Contact
If a disaster occurs, every effort will be made by OCM to contact all clients. This will either be done by phone calls, emails, general mailing, and/or posting a message on the OCM website. A list of all clients is maintained in OCM's account management system and can also be received by contacting the relevant account custodian.
Updates and Annual Review
OCM will update this plan whenever there is a material change to OCM's operations, structure, business or location, or to those of our custodian (or any other critical service providers). In addition, OCM will test and update the plan, at least annually, to ensure the plan remains consistent with OCM's policy and overall business operations.
A full version of the Disaster Recovery Plan is available upon request.
Custodian Contacts
If, after a significant business disruption, you cannot contact us directly as you usually do, please call directly to your custodian as follows:
For Charles Schwab Accounts
www.schwab.com
1-800-435-4000
For Fidelity Accounts
www.fidelity.com
1-800-343-3548
For Goldman Sachs Accounts
www.gsselect.com
1-844 477-1212
For NBIN Accounts
www.nbcn.com
1-416-869-6695
For Pershing Accounts
www.pershing.com
1-201-413-3635
Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption, and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our customers to transact business. In short, our Business Continuity Plan is designed to permit our firm to resume operations as quickly as possible given the scope and severity of the significant business disruption.