DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Occidental Asset Management, LLC
Latest filing Jun 25, 2026
First filing on the tape Aug 26, 2013 · 56 filings
SEC status approved since Sep 6, 2013
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.1B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$89.3M
derived; firm RAUM over IAPD count
Employees
15
9 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
56 filings and snapshots on the tape
RAUM$1.1B as of Jun 25, 2026
Mar 26, 2014$145M then
HNW client RAUM$1.1B as of Jun 25, 2026
Jan 19, 2018$270M then
State-registered IARs (5.B.3)9 as of Jun 25, 2026
Mar 26, 20142 then
Employees (5.A)15 as of Jun 25, 2026
Mar 26, 20142 then
Private funds: no history
RAUM +35% over the last fiscal year+29% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Jun 25, 2026; every figure names its basis
- RAUM per advisor
- $89.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $557,924derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +35%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $1.1B, 584 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B100%
- Individual clients
- n/areported
- HNW clients
- 908reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,921reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 584 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Andrew Charles Cattano | Burlingame, Ca | Sep 6, 2013 | 31 y | 1 |
| Nathan Hatton Walsh | Burlingame, Ca | Sep 6, 2013 | 27 y | 3 |
| Nicholas John MarattaCertified Financial Planner | Winter Springs, Fl | Apr 6, 2016 | 27 y | 0 |
| John Christian Wilbourne | Bellevue, Wa | May 24, 2016 | 32 y | 6 |
| Brad T KlontzCertified Financial Planner | Lihue, Hi | Sep 7, 2016 | 25 y | 0 |
| Federico Santiago Londono Castillo | Burlingame, Ca | Feb 4, 2020 | 17 y | 0 |
| Bugra BakanCertified Financial Planner | Burlingame, Ca | Dec 11, 2020 | 24 y | 4 |
| Geovanni Waymon James | Burlingame, Ca | Sep 7, 2023 | 14 y | 0 |
| James Paul GriffinCertified Financial Planner | Altamonte Springs, Fl | Jan 12, 2024 | 20 y | 3 |
| Erin Allison HadleyCertified Financial Planner | Burlingame, Ca | Jan 10, 2025 | 14 y | 2 |
| Manuel Angel Ortiz Aquino | Burlingame, Ca | Jun 16, 2025 | 13 y | 2 |
| Andrew Russell Hicks | Altamonte Springs, Fl | Feb 11, 2026 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Holly Gillian Kindel to Prospettiva FinancialJul 2, 2019 · RIA to RIA
- Jason Ferris Jeung to Seacrest Wealth Management, LLCMay 2, 2019 · RIA to RIA
- Youxi Zeren to Wells Fargo AdvisorsJun 8, 2017 · Other
- Brian Davis to Wealth Enhancement Advisory Services, LLCMay 24, 2017 · Other
Joined, latest
- Manuel Angel Ortiz Aquino from J.P. Morgan Securities LLCJun 16, 2025 · Wirehouse to independent RIA
- James Paul Griffin from Charles Schwab & Co., Inc.Jan 12, 2024 · Affiliated broker-dealer or bank to independent RIA
- Bugra Bakan from Shield Wealth ManagementDec 11, 2020 · Other
- Holly Gillian Kindel from Mosaic Financial Partners, Inc.May 18, 2018 · Other
- John Christian Wilbourne from Private Advisor Group, LLCMay 24, 2016 · Other
- Erin Allison Hadley from Personal Financial Consultants, Inc.Oct 29, 2015 · Other
- Brian Davis from Vicus Capital, Inc.Mar 4, 2015 · Other
- Jason Ferris Jeung from Seacrest Wealth Management, LLCDec 23, 2013 · Other
- Andrew Charles Cattano from Acc Investment Management, Inc.Sep 6, 2013 · Other
- Nathan Hatton Walsh from Acc Investment Management, Inc.Sep 6, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Charles Andrew Cattano · Managing Principalcontrolsince 07/2013 · owns less than 5%
- Hatton Nathan Walsh · Managing Principal/Chief Compliance Officercontrolsince 07/2013 · owns less than 5%
- Charles Andrew Cattano · Trusteecontrolsince 01/2001 · owns F of Cattano Family Trust
- Paige Michelle Cattano · Trusteecontrolsince 01/2001 · owns F of Cattano Family Trust
- T Brad Klontz · Trusteecontrolsince 06/2014 · owns F of Brad Klontz And Joni Wada Family Trust
- Joni Wada · Trusteecontrolsince 06/2014 · owns F of Brad Klontz And Joni Wada Family Trust
- Hatton Nathan Walsh · Membercontrolsince 07/2013 · owns 25% to 50% of Occam Capital, LLC
- T Brad Klontz · Managing Principalsince 01/2015 · owns less than 5%
Entity owners
- Occam Capital, LLC · Holding Companydirect · owns 75% or more
- Brad Klontz And Joni Wada Family Trust · Memberindirect · owns 25% to 50% of Occam Capital, LLC
- Cattano Family Trust · Memberindirect · owns 25% to 50% of Occam Capital, LLC
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Burlingame, Ca · principal | 8 | 0 | 0 | ||
| Altamonte Springs, Fl | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA3 employees
- Altamonte Springs, FL2 employees
- Boulder, CO1 employees
- Ponte Vedra Beach, FL1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 25, 2026CATTANO, MICHELLE, PAIGE (TRUSTEE) left Schedule A between the filings of 2017-05-11 and 2026-06-25peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jun 25, 2026Wada, Joni (TRUSTEE) left Schedule A between the filings of 2017-05-11 and 2026-06-25peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 1,866 to 1,921Sep 16, 2025 to Feb 12, 2026
- Advisory employees · 10 to 9Sep 16, 2025 to Feb 12, 2026
- HNW clients · 565 to 908Sep 16, 2025 to Feb 12, 2026
- Assets in custody · $152M to $1.1BSep 16, 2025 to Feb 12, 2026
- Employees · 12 to 15Sep 16, 2025 to Feb 12, 2026
- Discretionary RAUM · $953M to $1.1BSep 16, 2025 to Feb 12, 2026
- HNW RAUM · $953M to $1.1BSep 16, 2025 to Feb 12, 2026
- RAUM · $953M to $1.1BSep 16, 2025 to Feb 12, 2026
- Accounts · 1,713 to 1,866May 29, 2025 to Sep 16, 2025
- HNW clients · 540 to 565May 29, 2025 to Sep 16, 2025
- Financial planning clients · 0 to 0May 29, 2025 to Sep 16, 2025
- Discretionary RAUM · $796M to $953MMay 29, 2025 to Sep 16, 2025
- HNW RAUM · $796M to $953MMay 29, 2025 to Sep 16, 2025
- RAUM · $796M to $953MMay 29, 2025 to Sep 16, 2025
- Accounts · 1,455 to 1,713Dec 3, 2024 to Jan 28, 2025
- HNW clients · 473 to 540Dec 3, 2024 to Jan 28, 2025
- Discretionary RAUM · $625M to $796MDec 3, 2024 to Jan 28, 2025
- HNW RAUM · $625M to $796MDec 3, 2024 to Jan 28, 2025
- RAUM · $625M to $796MDec 3, 2024 to Jan 28, 2025
- Assets in custody · unset to 152260432.0Nov 12, 2024 to Dec 3, 2024
- Custody of client assets · false to trueNov 12, 2024 to Dec 3, 2024
- Accounts · 1,385 to 1,455Jan 16, 2024 to Feb 20, 2024
- HNW clients · 457 to 473Jan 16, 2024 to Feb 20, 2024
- Employees · 11 to 12Jan 16, 2024 to Feb 20, 2024
- Financial planning clients · 1-10 to 0Jan 16, 2024 to Feb 20, 2024
- Discretionary RAUM · $494M to $625MJan 16, 2024 to Feb 20, 2024
- HNW RAUM · $494M to $625MJan 16, 2024 to Feb 20, 2024
- RAUM · $494M to $625MJan 16, 2024 to Feb 20, 2024
- Advisory employees · 9 to 10May 9, 2023 to Jan 16, 2024
- Employees · 10 to 11May 9, 2023 to Jan 16, 2024
- State-registered IARs · 8 to 9May 9, 2023 to Jan 16, 2024
- Accounts · 1,308 to 1,385Mar 31, 2022 to Jan 31, 2023
- HNW clients · 435 to 457Mar 31, 2022 to Jan 31, 2023
- Employees · 9 to 10Mar 31, 2022 to Jan 31, 2023
- Discretionary RAUM · $524M to $494MMar 31, 2022 to Jan 31, 2023
- HNW RAUM · $524M to $494MMar 31, 2022 to Jan 31, 2023
- RAUM · $524M to $494MMar 31, 2022 to Jan 31, 2023
- Accounts · 1,160 to 1,308Nov 5, 2021 to Feb 28, 2022
- HNW clients · 400 to 435Nov 5, 2021 to Feb 28, 2022
- Discretionary RAUM · $422M to $524MNov 5, 2021 to Feb 28, 2022
Signals
4 dated events
- Occidental Asset Management, Llc reported RAUM $796.1M, up 27% from $625.5M (2024-12-03 to 2025-01-28)Jan 28, 2025 · RAUM change · derived
- Occidental Asset Management, Llc reported RAUM $625.5M, up 27% from $494.4M (2024-01-16 to 2024-02-20)Feb 20, 2024 · RAUM change · derived
- Occidental Asset Management, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 26, 2013 · Succession (Item 4) · fact
- Occidental Asset Management, Llc filed its initial SEC registration (Form ADV)Aug 26, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- team@occidentalasset.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 321-401-6633reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 650-409-3888reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 808-445-9510reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- occidentalasset.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 650-344-1600reportedpublic record, Form ADV, Jun 25, 2026
- Team page
- occidentalasset.com/teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $89.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026