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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

OCCIDENTAL ASSET MANAGEMENT, LLC

CRD 168650

BURLINGAME, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2553234f-648b-0304-4efa-76f6ed09e45d

Data as of Jun 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 4
On other graphs: 0
Observed: Aug 26, 2013 to Jun 25, 2026
56 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.1BItem 5.F on the latest filing (2026-06-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.1B
Private client RAUM: $1.1BderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 12
RAUM per advisor: $89.3Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 15
Advisory employees: 9
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 1,921
High net worth clients: 908
Custody, client assets: $1.1B
SEC number: 801-78516
CRD: 168650
Filings on the tape: 56
First filed: Aug 26, 2013
Latest filed: Jun 25, 2026
Organised: Limited Liability Company, DE
Website: occamllc.net

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ANDREW CHARLES CATTANO	n/a	BURLINGAME, CA	13	31	1	no
NATHAN HATTON WALSH	n/a	BURLINGAME, CA	13	27	3	no
NICHOLAS JOHN MARATTA	Certified Financial Planner	Winter Springs, FL	10	27	n/a	no
JOHN CHRISTIAN WILBOURNE	n/a	Bellevue, WA	10	32	6	no
BRAD T KLONTZ	Certified Financial Planner	LIHUE, HI	10	25	n/a	no
Federico Santiago Londono Castillo	n/a	BURLINGAME, CA \| Altamonte Springs, FL	6	17	n/a	no
BUGRA BAKAN	Certified Financial Planner	BURLINGAME, CA	5	24	4	no
Geovanni Waymon James	n/a	BURLINGAME, CA \| Altamonte Springs, FL	3	14	n/a	no
JAMES PAUL GRIFFIN	Certified Financial Planner	Altamonte Springs, FL \| BURLINGAME, CA	2	20	3	no
ERIN ALLISON HADLEY	Certified Financial Planner	BURLINGAME, CA	1	14	2	no
Manuel Angel Ortiz Aquino	n/a	BURLINGAME, CA \| Altamonte Springs, FL	1	13	2	no
Andrew Russell Hicks	n/a	Altamonte Springs, FL	0	13	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CATTANO, ANDREW, CHARLES	MANAGING PRINCIPAL	Na	yes	07/2013	Jun 25, 2026	Jun 25, 2026
OCCAM CAPITAL, LLC	HOLDING COMPANY	E	yes	07/2013	Jun 25, 2026	Jun 25, 2026
WALSH, NATHAN, HATTON	MANAGING PRINCIPAL/CHIEF COMPLIANCE OFFICER	Na	yes	07/2013	Jun 25, 2026	Jun 25, 2026
BRAD KLONTZ AND JONI WADA FAMILY TRUST	Member	C	yes	01/2015	May 11, 2017	Dec 3, 2024
CATTANO FAMILY TRUST	Member	C	yes	07/2013	Aug 26, 2013	Dec 3, 2024
CATTANO, ANDREW, CHARLES	Trustee	F	yes	01/2001	Aug 26, 2013	Dec 3, 2024
CATTANO, MICHELLE, PAIGE	Trustee	F	yes	01/2001	Aug 26, 2013	Dec 3, 2024
KLONTZ, BRAD, T	Trustee	F	yes	06/2014	Mar 20, 2015	Dec 3, 2024
Wada, Joni	Trustee	F	yes	06/2014	May 11, 2017	Dec 3, 2024
WALSH, NATHAN, HATTON	Member	C	yes	07/2013	Aug 26, 2013	Dec 3, 2024
KLONTZ, BRAD, T	MANAGING PRINCIPAL	Na	no	01/2015	Jun 25, 2026	Jun 25, 2026

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	3	no
ALTAMONTE SPRINGS	FL	United States	2	no
Boulder	Co	United States	1	no
PONTE VEDRA BEACH	FL	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 13 of 15

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 10, 2026	$1.1B	$1.1B	15	9	4	n/a	n/a
2024	Apr 29, 2025	$796M	$796M	12	10	4	n/a	n/a
2023	Feb 20, 2024	$625M	$625M	12	10	4	n/a	n/a
2022	Jan 31, 2023	$494M	$494M	10	9	4	n/a	n/a
2021	Feb 28, 2022	$524M	$524M	9	9	4	n/a	n/a
2020	Feb 4, 2021	$422M	$422M	9	9	4	n/a	n/a
2019	Mar 3, 2020	$337M	$337M	7	7	4	n/a	n/a
2018	Mar 5, 2019	$271M	$271M	9	9	4	n/a	n/a
2017	Jan 19, 2018	$270M	$270M	7	7	4	n/a	n/a
2016	Feb 16, 2017	$225M	$225M	8	8	n/a	n/a	n/a
2015	Feb 16, 2016	$165M	$165M	5	5	n/a	n/a	n/a
2014	Mar 20, 2015	$165M	$165M	5	5	n/a	n/a	n/a
2013	Mar 26, 2014	$145M	$145M	2	2	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	2	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.1B	$796M	34.6%	$494M	29.4%	15	12	4	4

Relationships

Registered with (16)

← Andrew Russell HicksAdvisorregistration: current employment
Feb 11, 2026 to presentfactForm ADV
← Manuel Angel Ortiz AquinoAdvisorregistration: current employment
Jun 16, 2025 to presentfactForm ADV
← ERIN ALLISON HADLEYAdvisorregistration: previous registration
Oct 29, 2015 to Nov 11, 2015factForm ADV
← JAMES PAUL GRIFFINAdvisorregistration: current employment
Jan 12, 2024 to presentfactForm ADV
← Geovanni Waymon JamesAdvisorregistration: current employment
Sep 7, 2023 to presentfactForm ADV
← BUGRA BAKANAdvisorregistration: current employment
Dec 11, 2020 to presentfactForm ADV
← Federico Santiago Londono CastilloAdvisorregistration: current employment
Feb 4, 2020 to presentfactForm ADV
← BRAD T KLONTZAdvisorregistration: current employment
Sep 7, 2016 to presentfactForm ADV
← JOHN CHRISTIAN WILBOURNEAdvisorregistration: current employment
May 24, 2016 to presentfactForm ADV
← NICHOLAS JOHN MARATTAAdvisorregistration: current employment
Apr 6, 2016 to presentfactForm ADV
← ANDREW CHARLES CATTANOAdvisorregistration: current employment
Sep 6, 2013 to presentfactForm ADV
← NATHAN HATTON WALSHAdvisorregistration: current employment
Sep 6, 2013 to presentfactForm ADV
← HOLLY GILLIAN KINDELAdvisorregistration: previous registration
May 18, 2018 to Jul 2, 2019factForm ADV
← JASON FERRIS JEUNGAdvisorregistration: previous registration
Dec 23, 2013 to May 2, 2019factForm ADV
← YOUXI ZERENAdvisorregistration: previous registration
Jul 15, 2015 to Jun 8, 2017factForm ADV
← Brian DavisAdvisorregistration: previous registration
Mar 4, 2015 to May 24, 2017factForm ADV

Controls (8)

← CATTANO, ANDREW, CHARLESOwnerTRUSTEE, ownership code F, individual
Aug 26, 2013 to Dec 3, 2024factForm ADV
← WALSH, NATHAN, HATTONOwnerMEMBER, ownership code C, individual
Aug 26, 2013 to Dec 3, 2024factForm ADV
← CATTANO, MICHELLE, PAIGEOwnerTRUSTEE, ownership code F, individual
Aug 26, 2013 to Dec 3, 2024factForm ADV
← KLONTZ, BRAD, TOwnerTRUSTEE, ownership code F, individual
Mar 20, 2015 to Dec 3, 2024factForm ADV
← Wada, JoniOwnerTRUSTEE, ownership code F, individual
May 11, 2017 to Dec 3, 2024factForm ADV
← BRAD KLONTZ AND JONI WADA FAMILY TRUSTOwnerMEMBER, ownership code C, domestic entity
May 11, 2017 to Dec 3, 2024factForm ADV
← CATTANO FAMILY TRUSTOwnerMEMBER, ownership code C, domestic entity
Aug 26, 2013 to Dec 3, 2024factForm ADV
← OCCAM CAPITAL, LLCOwnerHOLDING COMPANY, ownership code E, domestic entity
Aug 26, 2013 to Dec 3, 2024factForm ADV

Owns (1)

← KLONTZ, BRAD, TOwnerMANAGING PRINCIPAL, ownership code NA, individual
Mar 20, 2015 to Dec 3, 2024factForm ADV

Dated events

Occurred
Jan 28, 2025
Regulatory AUM changed
Occidental Asset Management, Llc reported RAUM $796.1M, up 27% from $625.5M (2024-12-03 to 2025-01-28)
Form ADVobserved 5 days ago
$171M
Occurred
Feb 20, 2024
Regulatory AUM changed
Occidental Asset Management, Llc reported RAUM $625.5M, up 27% from $494.4M (2024-01-16 to 2024-02-20)
Form ADVobserved 5 days ago
$131M
Occurred
Aug 26, 2013
Succession filed (Item 4)
Occidental Asset Management, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago
Occurred
Aug 26, 2013
First Form ADV filing
Occidental Asset Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2553234f-648b-0304-4efa-76f6ed09e45d
First observed: Aug 26, 2013
Last observed: Jun 25, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

OCCIDENTAL ASSET MANAGEMENT, LLC

CRD 168650

BURLINGAME, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2553234f-648b-0304-4efa-76f6ed09e45d

Data as of Jun 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:30 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ANDREW CHARLES CATTANO

n/a

BURLINGAME, CA

NATHAN HATTON WALSH

n/a

BURLINGAME, CA

NICHOLAS JOHN MARATTA

Certified Financial Planner

Winter Springs, FL

n/a

JOHN CHRISTIAN WILBOURNE

n/a

Bellevue, WA

BRAD T KLONTZ

Certified Financial Planner

LIHUE, HI

n/a

Federico Santiago Londono Castillo

n/a

BURLINGAME, CA | Altamonte Springs, FL

n/a

BUGRA BAKAN

Certified Financial Planner

BURLINGAME, CA

Geovanni Waymon James

n/a

BURLINGAME, CA | Altamonte Springs, FL

n/a

JAMES PAUL GRIFFIN

Certified Financial Planner

Altamonte Springs, FL | BURLINGAME, CA

ERIN ALLISON HADLEY

Certified Financial Planner

BURLINGAME, CA

Manuel Angel Ortiz Aquino

n/a

BURLINGAME, CA | Altamonte Springs, FL

Andrew Russell Hicks

n/a

Altamonte Springs, FL

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CATTANO, ANDREW, CHARLES

MANAGING PRINCIPAL

yes

07/2013

Jun 25, 2026

OCCAM CAPITAL, LLC

HOLDING COMPANY

yes

07/2013

Jun 25, 2026

WALSH, NATHAN, HATTON

MANAGING PRINCIPAL/CHIEF COMPLIANCE OFFICER

yes

07/2013

Jun 25, 2026

BRAD KLONTZ AND JONI WADA FAMILY TRUST

Member

yes

01/2015

May 11, 2017

Dec 3, 2024

CATTANO FAMILY TRUST

Member

yes

07/2013

Aug 26, 2013

Dec 3, 2024

CATTANO, ANDREW, CHARLES

Trustee

yes

01/2001

Aug 26, 2013

Dec 3, 2024

CATTANO, MICHELLE, PAIGE

Trustee

yes

01/2001

Aug 26, 2013

Dec 3, 2024

KLONTZ, BRAD, T

Trustee

yes

06/2014

Mar 20, 2015

Dec 3, 2024

Wada, Joni

Trustee

yes

06/2014

May 11, 2017

Dec 3, 2024

WALSH, NATHAN, HATTON

Member

yes

07/2013

Aug 26, 2013

Dec 3, 2024

KLONTZ, BRAD, T

MANAGING PRINCIPAL

01/2015

Jun 25, 2026

City

State

Country

Employees

Also broker-dealer

SAN FRANCISCO

United States

ALTAMONTE SPRINGS

United States

Boulder

United States

PONTE VEDRA BEACH

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 10, 2026

$1.1B

n/a

2024

Apr 29, 2025

$796M

n/a

2023

Feb 20, 2024

$625M

n/a

2022

Jan 31, 2023

$494M

n/a

2021

Feb 28, 2022

$524M

n/a

2020

Feb 4, 2021

$422M

n/a

2019

Mar 3, 2020

$337M

n/a

2018

Mar 5, 2019

$271M

n/a

2017

Jan 19, 2018

$270M

n/a

2016

Feb 16, 2017

$225M

n/a

2015

Feb 16, 2016

$165M

n/a

2014

Mar 20, 2015

$165M

n/a

2013

Mar 26, 2014

$145M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.1B

$796M

34.6%

$494M

29.4%