OCCIDENTAL ASSET MANAGEMENT, LLC
SEC RegisteredYour Financial Journey Deserves More Than a Template
About the firm
Founded in 2001, Occidental Asset Management is a fee-only registered investment advisor (RIA) that helps people feel safe and confident about how they manage their money and how their financial life supports the life they want to live. Their approach blends financial advisors' expertise with insights from behavioral finance and financial psychology to build personalized, comprehensive financial life plans.
Firm Focus
Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.
Areas of expertise
Services
Investment management, financial planning, retirement planning, tax planning, wealth accumulation, risk management, estate planning, concentrated equity solutions, and financial psychology.
Who they serve
Pre-retirees and retirees, families, entrepreneurs and equity holders, and international clients who want a personalized financial life plan rather than a generic template.
| Client segment | Clients | Assets managed |
|---|---|---|
| High Net Worth Individuals | 908 | $1.1B |
0 total clients reported on Form ADV.
Leadership
Office locations
Advisors at this firm
12 advisors in the directory
Regulatory & compliance
| Asset tier | Annual rate |
|---|---|
| Up to $200,000 | 1.50% |
| $200,001 to $700,000 | 1.25% |
| $700,001 to $1,200,000 | 1.15% |
| $1,200,001 to $2,200,000 | 1.10% |
| $2,200,001 to $3,200,000 | 1.00% |
| $3,200,000 to $25,000,000 | 0.75% |
Data as of April 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Contact Information
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. OCCIDENTAL ASSET MANAGEMENT, LLC has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on the SEC or FINRA websites before making any decision.