Wealth manager, independent · Burlingame, CA
Occidental Asset Management, LLC
SEC-registered investment adviser · CRD 168650 · SEC 801-78516
At a glance
Occidental Asset Management, LLC is an SEC-registered investment adviser based in Burlingame, California, with $1.1B in regulatory assets under management as of its Form ADV filed September 23, 2026. It reports 908 individual clients, 908 of them high-net-worth, holding an average of about $1.2 million each, and 15 employees. That ranks it 1029th among the nation’s 5,657 independent wealth management RIAs and 123rd of 714 in California. It reports Charles Schwab as the custodian for its clients’ separately managed accounts.
Main office 650-344-1600occidentalasset.comAs filed on Form ADV
- Regulatory AUM
- $1.1B
- Rank among independent wealth managers
- #1,029 of 5,657
- Rank among all SEC RIAs
- #5,162 of 17,210
- Rank in California
- #123 of 714
- Individual clients
- 908
- High-net-worth clients
- 908
- Accounts
- 1,921
- Discretionary
- 100% of AUM
- Employees
- 15
- Advisory staff
- 9
- Offices
- 5
Owners and executives on its Form ADV
- Andrew C. CattanoManaging Principal
- Nathan H. WalshManaging Principal/chief Compliance Officer
- Brad T KlontzManaging Principal
Custody and brokerage
Broker-dealer
No broker-dealer ties
Occidental Asset Management, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 908 | $1.1B | 100% |
Disciplinary disclosures
Occidental Asset Management, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Selecting other advisers
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗occidentalasset.com ↗
AtlasMembers
The full record on Occidental Asset Management, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 3,370 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in California
All of California →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Wescap GroupGlendale | $1.1B | 321 |
| Corvus Wealth Advisors LLCTempleton | $1.1B | 363 |
| Spinnaker Investment Group, LLCNewport Beach | $1.1B | 902 |
| Schnieders Capital Management, LLC.Pasadena | $1.1B | 459 |
| Morling Financial Advisors, LLCFremont | $1.0B | 333 |
| Manchester Financial IncWestlake Village | $1.0B | 1,018 |
Background
Questions
How much does Occidental Asset Management, LLC manage?
Occidental Asset Management, LLC reports $1.1B in regulatory assets under management across 1,921 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 23, 2026.
How many clients does Occidental Asset Management, LLC have?
It reports 908 individual clients: 908 high-net-worth individuals and 0 other individuals. Individuals account for about 100% of its regulatory assets.
Where is Occidental Asset Management, LLC headquartered?
Its main office is in Burlingame, California. It reports 5 offices in total and 15 employees, 9 of whom perform investment advisory functions.
How does Occidental Asset Management, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Occidental Asset Management, LLC use?
It reports Charles Schwab as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed September 23, 2026, it reports these amounts held: Charles Schwab ($1.1B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Occidental Asset Management, LLC a hybrid RIA with a broker-dealer?
Occidental Asset Management, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Occidental Asset Management, LLC a fiduciary?
As an SEC-registered investment adviser, Occidental Asset Management, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Occidental Asset Management, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-23), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →