# Occidental Asset Management, LLC

> Occidental Asset Management, LLC is an SEC-registered investment advisory firm in Burlingame, CA, registered since 2013, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated September 23, 2026.

- CRD: 168650
- Filed as: OCCIDENTAL ASSET MANAGEMENT, LLC
- Also doing business as: OCCAM
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Burlingame, CA
- Filing period: October 2026
- Form ADV filing dated: September 23, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/168650
- AdvisorCensus page: https://advisorcensus.com/firm/occidental-asset-management-llc-burlingame-ca-168650

## Quick answers

**How is Occidental Asset Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Occidental Asset Management, LLC reports these compensation arrangements: a percentage of assets under its management.

**Where is Occidental Asset Management, LLC located?**
Occidental Asset Management, LLC's principal office is in Burlingame, CA, according to its Form ADV; the October 2026 filing also lists 4 other offices (Schedule D, Section 1.F).

**Is Occidental Asset Management, LLC registered with the SEC or a state?**
Occidental Asset Management, LLC is an SEC-registered investment advisory firm, registered since 2013. Status as filed: Approved. CRD 168650.

**How much does Occidental Asset Management, LLC manage?**
Occidental Asset Management, LLC reports $1,071,771,428 in regulatory assets under management in its Form ADV filing dated September 23, 2026 (100% discretionary).

**How have Occidental Asset Management, LLC's assets and staff changed since 2021?**
In the Form ADV data for Occidental Asset Management, LLC: Regulatory assets under management: $422,085,914 in the October 2021 data and $1,071,771,428 in the October 2026 data, up 154%. Total employees: 9 in October 2021 and 15 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Occidental Asset Management, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (908).

**Which custodians does Occidental Asset Management, LLC use?**
Occidental Asset Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Occidental Asset Management, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/168650

**Does Occidental Asset Management, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated April 10, 2026 says: "The Advisor will generally require a minimum of $500,000 of assets under management for a separately managed account but may waive this minimum in its sole and absolute discretion."

**What changed in Occidental Asset Management, LLC's recent Form ADV filings?**
In the July 2026 filing data: Registered or notice-filed in MA, MO.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated April 10, 2026)

- Account minimum: $500,000 (the brochure says it may be waived or negotiated)

> The Advisor will generally require a minimum of $500,000 of assets under management for a separately managed account but may waive this minimum in its sole and absolute discretion.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $1,071,771,428
- Discretionary: $1,071,771,428
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| High net worth individuals | 908 | $1,071,771,428 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2013 (13 years)
- Employees: 15 total, 9 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AL, AR, CA, CO, CT, DE, FL, GA, HI, IN, LA, MA, MI, MN, MO, MS, NC, ND, NH, NM, PA, PR, SC, TN, TX, VA, VI, WA, WI
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the October 2026 filing
- Altamonte Springs, FL
- Boulder, CO
- Ponte Vedra Beach, FL
- San Francisco, CA

### Websites listed on Form ADV (Item 1.I)
- [occamllc.net](https://occamllc.net)
- [occidentalasset.com](https://occidentalasset.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $422,085,914 | 9 | February 4, 2021 |
| October 2022 | $523,737,691 | 9 | March 31, 2022 |
| October 2023 | $494,389,160 | 10 | May 9, 2023 |
| October 2024 | $625,459,642 | 12 | September 19, 2024 |
| October 2025 | $796,083,948 | 12 | May 29, 2025 |
| October 2026 | $1,071,771,428 | 15 | September 23, 2026 |

Regulatory assets under management: $422,085,914 in the October 2021 data and $1,071,771,428 in the October 2026 data, up 154%.
Total employees: 9 in October 2021 and 15 in October 2026.

## Changes in the filing (last 12 months)

### July 2026
- Registered or notice-filed in MA, MO.

### May 2026
- No longer lists the business name Your Mental Wealth Advisors.
- No longer lists the business name YMW Advisors.
- Registered or notice-filed in CT.

### March 2026
- Employees performing advisory functions went from 10 to 9.
- Regulatory assets under management went from $953,420,608 to $1,071,771,428 (+12%).
- Registered or notice-filed in AL.

### December 2025
- Regulatory assets under management went from $796,083,948 to $953,420,608 (+20%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Occidental Asset Management, LLC (CRD 168650): Form ADV filing data as of October 2026.