BB
CFP
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
December 2020 - Present · 5 yrs 1 mo
Previous Registrations
Shield Wealth Management
January 2011 - November 2020 · 9 yrs 10 mos
Amerivest Investment Management, LLC
April 2006 - June 2007 · 1 yr 2 mos
TD Ameritrade, INC.
May 2005 - June 2007 · 2 yrs 1 mo
RBC Dain Rauscher INC.
July 2004 - May 2005 · 10 mos
State Registrations2 states
CATX
Advisor
Exams
No exam information available for this advisor.