NW
Firm Information
Compensation
Fee-Only (AUM)
Number of Advisors
11 advisors
Number of Clients
540 clients
Average Client Portfolio
$1.5M average
Assets Under Management
$796.1M
Fee Structure
Minimum Investment:$500K
AUM-Based Fees (Tiered)
| Assets Under Management | Annual Fee |
|---|---|
| Up to $200K | 1.50% |
| $200K - $700K | 1.25% |
| $700K - $1.2M | 1.15% |
| $1.2M - $2.2M | 1.10% |
| $2.2M - $3.2M | 1.00% |
| $3.2M - $25.0M | 0.75% |
| $25M+ | 0.75% |
Management Fees will be negotiable in the sole and absolute discretion of the Advisor.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
You'll pay a quarterly fee in advance based on your portfolio size (see rates in table). For example, a $500,000 portfolio would cost $7,500 per year. Fees are negotiable at the Advisor's discretion. The firm generally requires a minimum of $500,000 of assets under management.
Areas of Practice
Investment ManagementRetirement PlanningFinancial Planning & Coaching
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Advisor Information
Office location
301 California Drive #9, Burlingame, CA, 94010
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Occidental Asset Management, LLC
September 2013 - Present · 12 yrs 4 mos
Previous Registrations
Acc Investment Management, INC.
January 2013 - December 2013 · 11 mos
Polaris Wealth Advisers, LLC
November 2011 - September 2012 · 10 mos
Polaris Equity Management, INC.
September 2005 - September 2012 · 7 yrs
State Registrations2 states
CATX
Advisor
Exams
No exam information available for this advisor.