Occidental Asset Management provides financial planning, portfolio management for individuals and small businesses, selecting other managers, and education planning.
Occidental Asset Management reports 908 high-net-worth individuals. Of its assets, 100.0% ($1.07B across 1,921 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| High-net-worth individuals | 100% | 100% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| High-net-worth individuals | 908 | $1.07B | 100.0% | $1.18M |
| Total | 908 | $1.07B | 100% | $1.18M |
- Clients
- 908
- Regulatory AUM
- $1.07B
- AUM share
- 100.0%
- Avg. per client
- $1.18M
Total
- Clients
- 908
- Regulatory AUM
- $1.07B
- AUM share
- 100%
- Avg. per client
- $1.18M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Occidental Asset Management charges 0.75%–1.50% a year for its Investment Management Fee. The fee is billed in advance and is negotiable.
Fee details and sources
Occam Capital, LLC owns 75% or more of Occidental Asset Management and is in turn owned by Cattano Family Trust (25–50%), Nathan Walsh (25–50%) and Brad Klontz and Joni Wada Family Trust (25–50%). The leadership team of Occidental Asset Management includes Chief Compliance Officer Nathan Walsh. It has 15 employees, 9 of them in advisory roles.
Leadership
- Nathan WalshManaging Principal/Chief Compliance Officer
- Andrew CattanoManaging Principal
- Brad KlontzManaging Principal
Investment adviser representatives
12 representatives listed in the SEC register as of 9 October 2026.
- Bugra Bakan
- Andrew Charles Cattano III
- James Paul Griffin
- Erin Allison Hadley
- Andrew Russell Hicks
- Geovanni Waymon James
- Brad T Klontz DR
- Federico Santiago Londono Castillo
- Nicholas John Maratta
- Manuel Angel Ortiz Aquino
- Nathan Hatton Walsh
- John Christian Wilbourne
Staff
- 15 employees
- 9 in advisory functions
- 9 state-registered reps
- 1 soliciting firm
- Owns 75% or more of Occidental Asset Management, LLC
Occam Capital, LLC
Control person · since July 2013
- Owns 25% to 50% of Occam Capital, LLC
Cattano Family Trust
Control person · since July 2013
Andrew Cattano
Trustee · Control person · since January 2001
Michelle Cattano
Trustee · Control person · since January 2001
- Owns 25% to 50% of Occam Capital, LLC
Nathan Walsh
Control person · since July 2013
- Owns 25% to 50% of Occam Capital, LLC
Brad Klontz and Joni Wada Family Trust
Control person · since January 2015
Brad Klontz
Trustee · Control person · since June 2014
Joni Wada
Trustee · Control person · since June 2014
Occidental Asset Management’s regulatory assets grew 2.5× from $422M (February 2021) to $1.07B (September 2026); clients rose from 400 to 908 and employees from 9 to 15.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| September 2026 | $1.07B | 908 | 15 | 5 |
| May 2025 | $796M | 540 | 12 | 5 |
| July 2024 | $625M | 473 | 12 | 5 |
| May 2023 | $494M | 457 | 10 | 5 |
| March 2022 | $524M | 435 | 9 | 5 |
| February 2021 | $422M | 400 | 9 | 5 |
Besides its headquarters, Occidental Asset Management has 4 offices, with 5 listed addresses in California, Colorado and Florida.
California · 2 listed addresses
- 301 California Drive #9, BurlingameHQ
- 648 Chenery Street, San Francisco
Florida · 2 listed addresses
- 220 E Central Parkway, Altamonte Springs
- 822 N A1a Highway, Ponte Vedra Beach
Colorado · 1 listed address
- 4571 Broadway Street, Boulder
Other business names
Occidental Asset Management has reported 1 other business name to the SEC.
- Occam
Contact and registration details
- Legal name
- Occidental Asset Management, LLC
- Headquarters
- 301 California Drive #9, Burlingame, CA 94010
- Website
- occidentalasset.com
- Phone
- 650-344-1600
- SEC file
- 801-78516
- Founded
- 2013
- Structure
- Delaware LLC
- Fiscal year end
- December
Occidental Asset Management uses Charles Schwab ($1.07B) as custodian for its separately managed accounts. Occidental Asset Management has custody of $812M in client assets for 982 clients.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $1.07B100%
At year end, Occidental Asset Management’s separately managed accounts were mostly in stocks (80%) and bonds (15%). Its reported 13F holdings for the quarter ended 30 June 2026 total $1.01B across 328 positions; the largest are Nvidia Corporation (6.6%), Apple Inc. (5.3%) and Microsoft Corp. (3.2%).
What the accounts hold
- Stocks80%
- Funds5%
- Bonds15%
- U.S. government and agency bonds5%
- State and local bonds5%
- Investment grade corporate bonds5%
Reported 13F holdings
- $1.01B
- Reported 13F value
- 328
- Positions
- 31.1%
- In the 10 largest
- +19.3%
- Value vs. prior quarter
- Nvidia Corporation6.6%
- Apple Inc.5.3%
- Microsoft Corp.3.2%
- SPDR Series Trust · ST Inter BD ETF2.8%
- iShares TR · Fltg Rate NT ETF2.6%
- SPDR Series Trust · ST Shor Corp. ETF2.6%
- Alphabet Inc. · Cap Stk CL C2.2%
- Flexshares TR · Cre Slct BD FD2.0%
- iShares TR · 0-3 Mth Treasury1.9%
- Fidelity Merrimack Str TR · Total BD ETF1.9%
Together, the ten largest are 31.1% of reported value.
How many clients does Occidental Asset Management have?
Occidental Asset Management has 908 clients and manages $1.07 billion for them, as of September 2026. They include 908 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 23 September 2026
What services does Occidental Asset Management offer?
Occidental Asset Management provides financial planning, portfolio management for individuals and small businesses, selecting other managers, and education planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Occidental Asset Management charge?
Occidental Asset Management charges 0.75%–1.50% a year for its Investment Management Fee. The fee is billed in advance and is negotiable.
Which custodians does Occidental Asset Management use?
Occidental Asset Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $1.07B. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 September 2026
How many financial advisors does Occidental Asset Management have?
Occidental Asset Management has 9 investment adviser representatives registered with state securities authorities, out of 15 employees, and 9 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Occidental Asset Management invest in?
At the end of its last fiscal year, Occidental Asset Management’s separately managed accounts held 80% exchange-traded equities, 5% U.S. government and agency bonds, 5% state and local bonds, 5% investment grade corporate bonds and 5% pooled vehicles (private funds and similar).
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Occidental Asset Management?
Occidental Asset Management is owned through a holding company by Nathan Walsh. Its direct owner is Occam Capital, LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 23 September 2026
How does Occidental Asset Management get paid?
Occidental Asset Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Occidental Asset Management?
Occidental Asset Management’s main office is at 301 California Drive #9, Burlingame, CA 94010. Its phone number is 650-344-1600. Its website is occidentalasset.com.