James Griffin is a CFP-designated registered investment advisor at Occidental Asset Management, LLC, based in Burlingame, CA, with 19 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 908 clients with $1.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | 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
Location
301 California Drive #9, Burlingame, CA, 94010
Get directionsHistory
Regulatory History
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 →Other Business Activities
James is involved in several real estate ventures, including owning rental properties and locating investment opportunities. He also holds a minority ownership in a restaurant group and serves as secretary for Dommerich Elementary Fund.
Employment History
Current Registrations
Occidental Asset Management, LLC
Previous Registrations
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
TD Ameritrade Investment Management, LLC
TD Ameritrade, INC.
TD Ameritrade, INC.Broker
State Registrations4 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.