Occidental Asset Management, Llc
- Regulatory AUM
- $1.1B
- Discretionary
- $1.1B
- Clients
- 908
- Avg AUM / client
- $1.2M
- Accounts
- 1,921
- Employees
- 15
AUM over time
Annual snapshots from Form ADV filings · as of Jun 25, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 908 | $1.1B | 100.0% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Brown & Brown, Inc Employee Savings Plan Brown & Brown, Inc. | 2024 |
People (14)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Andrew Charles Cattano | Managing Principal | Jan 2001 (26y) | Less than 5% | |
| Cattano, Michelle, Paige | Trustee | Jan 2001 (26y) | GP / trustee / elected manager of Cattano Family Trust (indirect) | |
| Nathan Hatton Walsh | Managing Principal/Chief Compliance Officer | Jul 2013 (13y) | ≈ 18.75% – 50% via Occam Capital, Llc | |
| Brad T Klontz | Managing Principal | CFP | Jun 2014 (12y) | Less than 5% |
| Wada, Joni | Trustee | Jun 2014 (12y) | GP / trustee / elected manager of Brad Klontz And Joni Wada Family Trust (indirect) | |
| Nicholas John Maratta | Registered representative | CFP | Apr 2016 (10y) | |
| John Christian Wilbourne | Registered representative | May 2016 (10y) | ||
| Federico Santiago Londono Castillo | Registered representative | Feb 2020 (6y) | ||
| Bugra Bakan | Registered representative | CFP | Dec 2020 (6y) | |
| Geovanni Waymon James | Registered representative | Sep 2023 (3y) | ||
| James Paul Griffin | Registered representative | CFP | Jan 2024 (3y) | |
| Erin Allison Hadley | Registered representative | CFP | Jan 2025 (2y) | |
| Manuel Angel Ortiz Aquino | Registered representative | Jun 2025 (1y) | ||
| Andrew Russell Hicks | Registered representative | Feb 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Occam Capital, Llc | Holding Company | Jul 2013 | A | 75% or more |
| Cattano Family Trust | Member | Jul 2013 | B | ≈ 18.75% – 50% via Occam Capital, Llc |
| Brad Klontz And Joni Wada Family Trust | Member | Jan 2015 | B | ≈ 18.75% – 50% via Occam Capital, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Nathan Hatton Walsh: 25% – 50% of Occam Capital, Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
- Cattano Family Trust: 25% – 50% of Occam Capital, Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
- Brad Klontz And Joni Wada Family Trust: 25% – 50% of Occam Capital, Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Brown & Brown, Inc Employee Savings Plan | Brown & Brown, Inc. | 12,393 | $1.8B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/25/2026 | 1 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $1.1B (100% of AUM) Jun 2026
- E*TRADE (Morgan Stanley) $20.0M (5% of AUM) Oct 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 25, 2026.
View current Form ADV (SEC/IAPD) ↗