James Griffin
Occidental Asset Management · Burlingame, California
James Griffin is a fee-only financial advisor at Occidental Asset Management in Burlingame, California, who holds the CFP credential. James charges an ongoing planning fee (a $500,000 asset minimum) and focuses on equity compensation, tax planning and estate & legacy planning.
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Specialties
Who they serve
- Retirees
- Pre-retirees
- Multi-generational families
- Founders
- Tech employees
- Executives
- Ultra high net worth
Facts
| Firm | Occidental Asset Management |
|---|---|
| Based in | Burlingame, California |
| Fee model | Ongoing planning fee |
| Fees (firm's website) | A $500,000 asset minimum |
| Works virtually | Yes |
| Accepting new clients | Yes |
| Assets under management | $1.40B across 2,101 accounts |
| Credentials | CFP |
| SEC registration | Investment adviser representative in CA, FL, SC, TX · CRD 5180016 |
| Exams passed | Series 63 (2007) · Series 66 (2010) |
| Firm size | 15 employees |
| Disclosures | None reported |
| Website | occidentalasset.com |
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Questions about James
Is James Griffin a fee-only financial advisor?
Yes, according to SEC records as of October 29, 2026: James holds no broker registration, and Occidental Asset Management reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency on its Form ADV.
How does James charge for financial advice?
James charges an ongoing planning fee.
How much does James charge?
According to Occidental Asset Management's website, checked October 30, 2026: a $500,000 asset minimum.
Does James work with clients virtually?
Yes. Occidental Asset Management says on its website that it works with clients remotely.
Where is James Griffin based?
James Griffin is based in Burlingame, California.
What does James specialize in?
James's specialties include equity compensation, tax planning, estate & legacy planning, retirement planning and founders (pre-exit). James works with retirees, pre-retirees, multi-generational families, founders and tech employees.
What credentials does James Griffin hold?
James Griffin holds the CFP credential.
Is James Griffin registered with the SEC?
Yes. James Griffin is registered as an investment adviser representative in CA, FL, SC and TX (CRD 5180016), per SEC Investment Adviser Public Disclosure data as of October 29, 2026.
How much does Occidental Asset Management manage?
Occidental Asset Management reports $1.40B across 2,101 accounts in assets under management.
How do I contact James Griffin?
Through James's website, occidentalasset.com.
What these terms mean: fee-only · fiduciary · CFP · CRD number · all terms
Where this information comes from
- SEC adviser records : the firm's Form ADV reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency, and the advisor holds no broker registration
- Occidental Asset Management website : specialties, clients served, and fees, checked October 30, 2026
- SEC Investment Adviser Public Disclosure : registration, exams, and the firm's Form ADV, data as of October 29, 2026
- Directory listing last checked October 30, 2026.
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