Brad T. Klontz

OCCIDENTAL ASSET MANAGEMENT

LIHUE, HI

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CRD#: 6256625

Professional summary

Brad T Klontz DR, CFP® is a registered financial advisor currently at OCCIDENTAL ASSET MANAGEMENT, LLC located in Lihue, Hawaii.

Brad is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Brad has worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brad T Klontz DR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

October 7, 2013 - Present

OCCIDENTAL ASSET MANAGEMENT, LLC

RIA

CRD#: 168650

LIHUE, HI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OCCIDENTAL ASSET MANAGEMENT, LLC

OCCAM | YOUR MENTAL WEALTH ADVISORS | YMW ADVISORS | OCCIDENTAL ASSET MANAGEMENT, LLC

CRD#: 168650 / SEC#: 801-78516

RIA

Registered Investment Advisory firm - (9/6/2013 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(10/7/2013)

IAR

Hawaii
(10/7/2013)

IAR

Washington
(9/7/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Current Firm

OCCIDENTAL ASSET MANAGEMENT, LLC

OCCAM | YOUR MENTAL WEALTH ADVISORS | YMW ADVISORS | OCCIDENTAL ASSET MANAGEMENT, LLC

CRD#: 168650 / SEC#: 801-78516

RIA

Registered Investment Advisory firm - (9/6/2013 Approved)

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Contact information

Main Address

301 California Drive #9, Burlingame, CA 94010

Mailing Address

Phone number

(650) 344-1600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OCCAM BROCHURE 202509 (9/16/2025)

Regulatory assets under management

Total Number of Accounts	1,866
AUM (Assets Under Management)	$ 953,420,608

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Brad T. Klontz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brad T Klontz DR's CRS (Customer Relationship Summary).

Certified licenses

Experience

OCCIDENTAL ASSET MANAGEMENT, LLC

Primary Firm SEC Registration

OCCIDENTAL ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Current Firm

OCCIDENTAL ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OCCIDENTAL ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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