OCCIDENTAL ASSET MANAGEMENT, LLC
Adviser information for OCCIDENTAL ASSET MANAGEMENT, LLC last updated from Form ADV on March 31st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 9 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,455 | $625.5M |
| Non-Discretionary | 0 | $0 |
| Total | 1,455 | $625.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 473 | $625.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Principal Office
301 CALIFORNIA DRIVE #9BURLINGAME
CA
United States
Monday - Friday, 7:30 AM - 4:00 PM
Tel: 650-344-1600, Fax: 650-745-7347
Chief Compliance Officer
NATHAN HATTON WALSH
MANAGING PRINCIPAL
648 CHENERY STREET
SAN FRANCISCO
CA
United States
Tel:
650-344-1600
N*******@***********T
(Full email address available in API data)
Regulatory Contact
JACK G. MARTEL
ATTORNEY
1101 FIFTH AVENUE, SUITE 100
SAN RAFAEL
CA
United States
Tel:
415-453-9433
J******@***********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| OCCAM CAPITAL, LLC | Domestic Entity | – | HOLDING COMPANY | 07/2013 | > 75% |
| CATTANO, ANDREW, CHARLES | Individual | – | MANAGING PRINCIPAL | 07/2013 | < 5% |
| WALSH, NATHAN, HATTON | Individual | – | MANAGING PRINCIPAL/CHIEF COMPLIANCE OFFICER | 07/2013 | < 5% |
| CATTANO, ANDREW, CHARLES | Individual | CATTANO FAMILY TRUST | TRUSTEE | 01/2001 | |
| CATTANO, MICHELLE, PAIGE | Individual | CATTANO FAMILY TRUST | TRUSTEE | 01/2001 | |
| CATTANO FAMILY TRUST | Domestic Entity | OCCAM CAPITAL, LLC | MEMBER | 07/2013 | 25-50% |
| WALSH, NATHAN, HATTON | Individual | OCCAM CAPITAL, LLC | MEMBER | 07/2013 | 25-50% |
| KLONTZ, BRAD, T | Individual | – | MANAGING PRINCIPAL | 01/2015 | < 5% |
| KLONTZ, BRAD, T | Individual | BRAD KLONTZ AND JONI WADA FAMILY TRUST | TRUSTEE | 06/2014 | |
| BRAD KLONTZ AND JONI WADA FAMILY TRUST | Domestic Entity | OCCAM CAPITAL, LLC | MEMBER | 01/2015 | 25-50% |
| Wada, Joni | Individual | BRAD KLONTZ AND JONI WADA FAMILY TRUST | TRUSTEE | 06/2014 |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 15th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBVIE INC | COM | 1M | 7K | – |
| ABRDN TOTAL DYNAMIC DIVIDEND | COM SH BEN INT | 211K | 25K | – |
| ADVANCED MICRO DEVICES INC | COM | 519K | 3K | – |
| AGILENT TECHNOLOGIES INC | COM | 3M | 20K | – |
| AIRBNB INC | COM CL A | 218K | 1K | – |
| ALPHABET INC | CAP STK CL C | 4M | 19K | – |
| ALPHABET INC | CAP STK CL A | 955K | 5K | – |
| AMAZON COM INC | COM | 5M | 26K | – |
| AMERICAN EAGLE OUTFITTERS IN | COM | 2M | 83K | – |
| AMERICAN TOWER CORP NEW | COM | 3M | 13K | – |
| AMGEN INC | COM | 4M | 11K | – |
| APPLE INC | COM | 30M | 142K | – |
| APPLIED MATLS INC | COM | 5M | 19K | – |
| AT&T INC | COM | 3M | 133K | – |
| BAKER HUGHES COMPANY | CL A | 2M | 60K | – |
| BANK AMERICA CORP | COM | 342K | 9K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 2M | 5K | – |
| BOEING CO | COM | 220K | 1K | – |
| BRISTOL-MYERS SQUIBB CO | COM | 379K | 9K | – |
| BROADCOM INC | COM | 429K | 267 | – |
| BROADRIDGE FINL SOLUTIONS IN | COM | 3M | 17K | – |
| BROWN & BROWN INC | COM | 747K | 8K | – |
| CARDINAL HEALTH INC | COM | 3M | 28K | – |
| CATERPILLAR INC | COM | 3M | 10K | – |
| CBRE GBL REAL ESTATE INC FD | COM | 95K | 19K | – |
| CENCORA INC | COM | 3M | 16K | – |
| CF INDS HLDGS INC | COM | 215K | 3K | – |
| CHEVRON CORP NEW | COM | 583K | 4K | – |
| CHIPOTLE MEXICAN GRILL INC | COM | 338K | 5K | – |
| CHUBB LIMITED | COM | 3M | 11K | – |
| CHURCH & DWIGHT CO INC | COM | 1M | 13K | – |
| CISCO SYS INC | COM | 813K | 17K | – |
| COCA COLA CO | COM | 600K | 9K | – |
| COLGATE PALMOLIVE CO | COM | 278K | 3K | – |
| COMCAST CORP NEW | CL A | 2M | 57K | – |
| CONOCOPHILLIPS | COM | 554K | 5K | – |
| CONSTELLATION BRANDS INC | CL A | 3M | 12K | – |
| COSTCO WHSL CORP NEW | COM | 326K | 383 | – |
| CUMMINS INC | COM | 4M | 13K | – |
| DIAGEO PLC | SPON ADR NEW | 562K | 4K | – |
| DIGITAL RLTY TR INC | COM | 2M | 10K | – |
| DIREXION SHS ETF TR | AUSPCE CMD STG | 6M | 197K | – |
| DISNEY WALT CO | COM | 2M | 16K | – |
| DUKE ENERGY CORP NEW | COM NEW | 3M | 33K | – |
| EBAY INC. | COM | 1M | 27K | – |
| ELI LILLY & CO | COM | 1M | 1K | – |
| EMERSON ELEC CO | COM | 3M | 32K | – |
| EXXON MOBIL CORP | COM | 1M | 11K | – |
| FIDELITY MERRIMACK STR TR | TOTAL BD ETF | 15M | 327K | – |
| FIRST TR EXCH TRADED FD III | SHRT DUR MNG MUN | 752K | 38K | – |
| FIRST TR EXCHANGE-TRADED FD | ULTRA SHT DUR MU | 390K | 19K | – |
| FIRST TR EXCHANGE-TRADED FD | MANAGD MUN ETF | 533K | 10K | – |
| FLEXSHARES TR | HIG YLD VL ETF | 242K | 6K | – |
| FLEXSHARES TR | CRE SLCT BD FD | 15M | 688K | – |
| FORD MTR CO DEL | COM | 601K | 48K | – |
| GALLAGHER ARTHUR J & CO | COM | 741K | 3K | – |
| GAP INC | COM | 1M | 46K | – |
| GILEAD SCIENCES INC | COM | 2M | 32K | – |
| GOLDMAN SACHS ETF TR | ACCES TREASURY | 512K | 5K | – |
| HERSHEY CO | COM | 337K | 2K | – |
| HOME DEPOT INC | COM | 5M | 13K | – |
| HOST HOTELS & RESORTS INC | COM | 3M | 146K | – |
| HUBBELL INC | COM | 4M | 11K | – |
| ILLINOIS TOOL WKS INC | COM | 3M | 12K | – |
| INNOVATOR ETFS TRUST | US EQT ULTRA BF | 209K | 6K | – |
| INTEL CORP | COM | 249K | 8K | – |
| INVESCO EXCHANGE TRADED FD T | S&P SPIN OFF | 696K | 10K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL HLT | 245K | 8K | – |
| INVESCO QQQ TR | UNIT SER 1 | 403K | 842 | – |
| ISHARES INC | CORE MSCI EMKT | 2M | 33K | – |
| ISHARES TR | S&P 500 VAL ETF | 12M | 68K | – |
| ISHARES TR | RUS 1000 GRW ETF | 17M | 45K | – |
| ISHARES TR | RUS MD CP GR ETF | 10M | 93K | – |
| ISHARES TR | US TREAS BD ETF | 12M | 529K | – |
| ISHARES TR | RUS MDCP VAL ETF | 11M | 88K | – |
| ISHARES TR | FLTG RATE NT ETF | 12M | 244K | – |
| ISHARES TR | MSCI INTL MOMENT | 3M | 69K | – |
| ISHARES TR | IBOXX HI YD ETF | 15M | 189K | – |
| ISHARES TR | CORE S&P TTL STK | 275K | 2K | – |
| ISHARES TR | CORE DIV GRWTH | 1M | 21K | – |
| ISHARES TR | CORE INTL AGGR | 9M | 176K | – |
| ISHARES TR | JPMORGAN USD EMG | 8M | 89K | – |
| ISHARES TR | CORE US AGGBD ET | 2M | 25K | – |
| ISHARES TR | SELECT DIVID ETF | 1M | 9K | – |
| ISHARES TR | RUS MID CAP ETF | 1M | 13K | – |
| ISHARES TR | ESG AWRE USD ETF | 259K | 11K | – |
| ISHARES TR | U.S. TECH ETF | 732K | 5K | – |
| ISHARES TR | CORE S&P US VLU | 820K | 9K | – |
| ISHARES TR | SP SMCP600VL ETF | 5M | 54K | – |
| ISHARES TR | RUS 2000 GRW ETF | 6M | 21K | – |
| ISHARES TR | RUS 1000 VAL ETF | 687K | 4K | – |
| ISHARES TR | RUSSELL 2000 ETF | 679K | 3K | – |
| ISHARES TR | NATIONAL MUN ETF | 229K | 2K | – |
| ISHARES TR | BROAD USD HIGH | 629K | 17K | – |
| ISHARES TR | CORE MSCI EAFE | 2M | 23K | – |
| ISHARES TR | CORE S&P MCP ETF | 407K | 7K | – |
| ISHARES TR | MSCI EAFE ETF | 233K | 3K | – |
| J P MORGAN EXCHANGE TRADED F | DIV RTN EM EQT | 1M | 23K | – |
| JACOBS SOLUTIONS INC | COM | 3M | 21K | – |
| JOHNSON & JOHNSON | COM | 499K | 3K | – |
| JPMORGAN CHASE & CO. | COM | 4M | 22K | – |
| LOCKHEED MARTIN CORP | COM | 357K | 765 | – |
| MARATHON PETE CORP | COM | 209K | 1K | – |
| MARSH & MCLENNAN COS INC | COM | 4M | 17K | – |
| MASTERCARD INCORPORATED | CL A | 347K | 787 | – |
| MCDONALDS CORP | COM | 354K | 1K | – |
| MERCK & CO INC | COM | 2M | 13K | – |
| MERITAGE HOMES CORP | COM | 2M | 12K | – |
| META PLATFORMS INC | CL A | 12M | 24K | – |
| MICRON TECHNOLOGY INC | COM | 314K | 2K | – |
| MICROSOFT CORP | COM | 17M | 37K | – |
| MORGAN STANLEY | COM NEW | 4M | 37K | – |
| NETAPP INC | COM | 5M | 38K | – |
| NETFLIX INC | COM | 518K | 768 | – |
| NOKIA CORP | SPONSORED ADR | 40K | 11K | – |
| NOVARTIS AG | SPONSORED ADR | 265K | 2K | – |
| NUSHARES ETF TR | NUVEEN ESG LRGCP | 220K | 3K | – |
| NUSHARES ETF TR | NUVEEN ESG LRGVL | 206K | 5K | – |
| NUVEEN AMT FREE QLTY MUN INC | COM | 181K | 16K | – |
| NUVEEN CR STRATEGIES INCOME | COM SHS | 95K | 17K | – |
| NUVEEN PFD & INCOME OPPORTUN | COM | 100K | 13K | – |
| NUVEEN QUALITY MUNCP INCOME | COM | 164K | 14K | – |
| NVIDIA CORPORATION | COM | 37M | 303K | – |
| NXP SEMICONDUCTORS N V | COM | 2M | 7K | – |
| OKTA INC | CL A | 3M | 34K | – |
| OMNICOM GROUP INC | COM | 2M | 25K | – |
| ORACLE CORP | COM | 734K | 5K | – |
| PAYPAL HLDGS INC | COM | 442K | 8K | – |
| PEPSICO INC | COM | 3M | 20K | – |
| PFIZER INC | COM | 370K | 13K | – |
| PHATHOM PHARMACEUTICALS INC | COM | 306K | 30K | – |
| PHILIP MORRIS INTL INC | COM | 232K | 2K | – |
| PIMCO ETF TR | ENHAN SHRT MA AC | 365K | 4K | – |
| PRICE T ROWE GROUP INC | COM | 3M | 26K | – |
| PROCTER AND GAMBLE CO | COM | 509K | 3K | – |
| QUALCOMM INC | COM | 5M | 25K | – |
| QUEST DIAGNOSTICS INC | COM | 3M | 21K | – |
| RBB FD INC | US TREAS 3 MNTH | 250K | 5K | – |
| RELIANCE INC | COM | 4M | 15K | – |
| ROSS STORES INC | COM | 228K | 2K | – |
| ROYAL CARIBBEAN GROUP | COM | 224K | 1K | – |
| SALESFORCE INC | COM | 1M | 5K | – |
| SCHWAB STRATEGIC TR | FUNDAMENTAL INTL | 3M | 72K | – |
| SCHWAB STRATEGIC TR | FUNDAMENTAL EMER | 1M | 49K | – |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 2M | 8K | – |
| SELECT SECTOR SPDR TR | COMMUNICATION | 5M | 53K | – |
| SELECT SECTOR SPDR TR | INDL | 490K | 4K | – |
| SELECT SECTOR SPDR TR | FINANCIAL | 7M | 169K | – |
| SELECT SECTOR SPDR TR | SBI CONS DISCR | 479K | 3K | – |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 884K | 6K | – |
| SELECT SECTOR SPDR TR | SBI CONS STPLS | 284K | 4K | – |
| SELECT SECTOR SPDR TR | ENERGY | 342K | 4K | – |
| SHOPIFY INC | CL A | 218K | 3K | – |
| SOUTHERN COPPER CORP | COM | 4M | 35K | – |
| SPDR GOLD TR | GOLD SHS | 263K | 1K | – |
| SPDR INDEX SHS FDS | PORTFOLIO DEVLPD | 3M | 98K | – |
| SPDR INDEX SHS FDS | PORTFOLIO EMG MK | 2M | 45K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 1M | 3K | – |
| SPDR SER TR | BBG CONV SEC ETF | 963K | 13K | – |
| SPDR SER TR | S&P 400 MDCP VAL | 2M | 25K | – |
| SPDR SER TR | S&P 600 SMCP GRW | 815K | 9K | – |
| SPDR SER TR | PRTFLO S&P500 GW | 7M | 88K | – |
| SPDR SER TR | PORTFOLIO INTRMD | 21M | 636K | – |
| SPDR SER TR | S&P DIVID ETF | 2M | 16K | – |
| SPDR SER TR | S&P 600 SMCP VAL | 798K | 10K | – |
| SPDR SER TR | S&P 400 MDCP GRW | 2M | 22K | – |
| SPDR SER TR | PORTFOLIO SHORT | 17M | 589K | – |
| SPDR SER TR | PRTFLO S&P500 VL | 5M | 110K | – |
| STRYKER CORPORATION | COM | 317K | 933 | – |
| SYSCO CORP | COM | 202K | 3K | – |
| TARGET CORP | COM | 3M | 17K | – |
| TESLA INC | COM | 1M | 7K | – |
| TG THERAPEUTICS INC | COM | 207K | 12K | – |
| UGI CORP NEW | COM | 2M | 67K | – |
| UNITEDHEALTH GROUP INC | COM | 3M | 7K | – |
| UNIVERSAL INS HLDGS INC | COM | 196K | 10K | – |
| US BANCORP DEL | COM NEW | 3M | 79K | – |
| VANECK ETF TRUST | HIGH YLD MUNIETF | 241K | 5K | – |
| VANECK ETF TRUST | SHRT HGH YLD MUN | 591K | 26K | – |
| VANECK ETF TRUST | FALLEN ANGEL HG | 7M | 249K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 214K | 800 | – |
| VANGUARD INDEX FDS | GROWTH ETF | 3M | 7K | – |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 383K | 5K | – |
| VANGUARD INDEX FDS | VALUE ETF | 203K | 1K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 3M | 5K | – |
| VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 256K | 4K | – |
| VANGUARD MUN BD FDS | TAX EXEMPT BD | 288K | 6K | – |
| VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 301K | 4K | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 865K | 5K | – |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | 365K | 7K | – |
| VANGUARD WHITEHALL FDS | INTL DVD ETF | 254K | 3K | – |
| VERIZON COMMUNICATIONS INC | COM | 1M | 24K | – |
| VERTEX PHARMACEUTICALS INC | COM | 215K | 458 | – |
| VIRTUS CONVERTIBLE & INC FD | COM | 46K | 16K | – |
| VIRTUS CONVERTIBLE & INCOME | COM | 40K | 12K | – |
| VIRTUS DIVIDEND INTEREST & P | COM | 190K | 15K | – |
| VISA INC | COM CL A | 4M | 15K | – |
| WALMART INC | COM | 4M | 66K | – |
| WELLS FARGO CO NEW | COM | 385K | 6K | – |
| WESTERN ASSET EMERGING MKTS | COM | 99K | 11K | – |
| WILLIAMS COS INC | COM | 4M | 86K | – |
| WILLIAMS SONOMA INC | COM | 2M | 9K | – |
| WISDOMTREE TR | CURRNCY INT EQ | 3M | 74K | – |
| WISDOMTREE TR | INTL QULTY DIV | 3M | 69K | – |
| WISDOMTREE TR | EMG MKTS SMCAP | 1M | 25K | – |
| WISDOMTREE TR | EM MKTS QTLY DIV | 1M | 54K | – |
| YUM BRANDS INC | COM | 501K | 4K | – |