0001214659-21-011091.txt : 20211103 0001214659-21-011091.hdr.sgml : 20211103 20211103143502 ACCESSION NUMBER: 0001214659-21-011091 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211103 DATE AS OF CHANGE: 20211103 EFFECTIVENESS DATE: 20211103 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Occidental Asset Management, LLC CENTRAL INDEX KEY: 0001770994 IRS NUMBER: 462763324 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19444 FILM NUMBER: 211374883 BUSINESS ADDRESS: STREET 1: 301 CALIFORNIA DR. #9 CITY: BURLINGAME STATE: CA ZIP: 94010 BUSINESS PHONE: 650-409-3888 MAIL ADDRESS: STREET 1: 301 CALIFORNIA DR. #9 CITY: BURLINGAME STATE: CA ZIP: 94010 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001770994 XXXXXXXX 09-30-2021 09-30-2021 false Occidental Asset Management, LLC

301 CALIFORNIA DR. #9 BURLINGAME CA 94010

13F HOLDINGS REPORT 028-19444 N Nathan Hatton Walsh 650-409-3888 /s/Nathan Hatton Walsh San Francisco CA 11-03-2021 0 205 385574 INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 1591 9068 SH SOLE 0 0 9068 ABBVIE INC COM 00287Y109 378 3500 SH SOLE 0 0 3500 ABERDEEN TOTAL DYNAMIC DIVD COM SH BEN INT 00326L100 138 14162 SH SOLE 0 0 14162 AFFIRM HLDGS INC COM CL A 00827B106 316 2649 SH SOLE 0 0 2649 AGILENT TECHNOLOGIES INC COM 00846U101 2246 14256 SH SOLE 0 0 14256 ALPHABET INC CAP STK CL A 02079K305 594 222 SH SOLE 0 0 222 ALPHABET INC CAP STK CL C 02079K107 1162 436 SH SOLE 0 0 436 AMAZON COM INC COM 023135106 1478 450 SH SOLE 0 0 450 AMERISOURCEBERGEN CORP COM 03073E105 1919 16068 SH SOLE 0 0 16068 APPLE INC COM 037833100 11548 81615 SH SOLE 0 0 81615 APPLIED MATLS INC COM 038222105 1793 13929 SH SOLE 0 0 13929 AT&T INC COM 00206R102 554 20528 SH SOLE 0 0 20528 AVNET INC COM 053807103 1586 42911 SH SOLE 0 0 42911 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1248 4571 SH SOLE 0 0 4571 BERKSHIRE HATHAWAY INC DEL CL A 084670108 823 2 SH SOLE 0 0 2 BLACKROCK MUNIYLD MICH QLTY COM 09254V105 155 10000 SH SOLE 0 0 10000 BLOCK H & R INC COM 093671105 721 28835 SH SOLE 0 0 28835 BOEING CO COM 097023105 271 1232 SH SOLE 0 0 1232 BRISTOL-MYERS SQUIBB CO COM 110122108 686 11596 SH SOLE 0 0 11596 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 1930 11582 SH SOLE 0 0 11582 BROWN & BROWN INC COM 115236101 293 5279 SH SOLE 0 0 5279 CBOE GLOBAL MKTS INC COM 12503M108 746 6023 SH SOLE 0 0 6023 CELANESE CORP DEL COM 150870103 2030 13477 SH SOLE 0 0 13477 CHECKPOINT THERAPEUTICS INC COM 162828107 87 26400 SH SOLE 0 0 26400 CHEVRON CORP NEW COM 166764100 233 2293 SH SOLE 0 0 2293 CHURCH & DWIGHT INC COM 171340102 1264 15304 SH SOLE 0 0 15304 CISCO SYS INC COM 17275R102 1163 21366 SH SOLE 0 0 21366 CITRIX SYS INC COM 177376100 1301 12115 SH SOLE 0 0 12115 CLEARWAY ENERGY INC CL C 18539C204 1963 64841 SH SOLE 0 0 64841 COCA COLA CO COM 191216100 421 8025 SH SOLE 0 0 8025 COLGATE PALMOLIVE CO COM 194162103 265 3503 SH SOLE 0 0 3503 COMCAST CORP NEW CL A 20030N101 1654 29574 SH SOLE 0 0 29574 CONOCOPHILLIPS COM 20825C104 217 3200 SH SOLE 0 0 3200 CONSTELLATION BRANDS INC CL A 21036P108 1617 7677 SH SOLE 0 0 7677 CUMMINS INC COM 231021106 1886 8399 SH SOLE 0 0 8399 DIAGEO PLC SPON ADR NEW 25243Q205 1046 5422 SH SOLE 0 0 5422 DISNEY WALT CO COM 254687106 297 1756 SH SOLE 0 0 1756 EAST WEST BANCORP INC COM 27579R104 1103 14231 SH SOLE 0 0 14231 EBAY INC. COM 278642103 2532 36349 SH SOLE 0 0 36349 ELECTRONIC ARTS INC COM 285512109 1100 7735 SH SOLE 0 0 7735 EMERSON ELEC CO COM 291011104 1926 20445 SH SOLE 0 0 20445 EXACT SCIENCES CORP COM 30063P105 386 4045 SH SOLE 0 0 4045 EXXON MOBIL CORP COM 30231G102 509 8653 SH SOLE 0 0 8653 FACEBOOK INC CL A 30303M102 7538 22209 SH SOLE 0 0 22209 FEDEX CORP COM 31428X106 1505 6864 SH SOLE 0 0 6864 FIRST AMERN FINL CORP COM 31847R102 2015 30049 SH SOLE 0 0 30049 FIRST TR EXCH TRADED FD III MANAGD MUN ETF 33739N108 1894 33352 SH SOLE 0 0 33352 FIRST TR EXCH TRD ALPHDX FD EURO ALPHADEX 33737J505 923 20063 SH SOLE 0 0 20063 GALLAGHER ARTHUR J & CO COM 363576109 451 3034 SH SOLE 0 0 3034 GLOBAL X FDS GLOBAL X COPPER 37954Y830 666 19476 SH SOLE 0 0 19476 GLOBAL X FDS TELMDC&DIG ETF 37954Y285 587 33118 SH SOLE 0 0 33118 GLOBAL X FDS US INFR DEV ETF 37954Y673 1846 72647 SH SOLE 0 0 72647 GRANITE CONSTR INC COM 387328107 976 24679 SH SOLE 0 0 24679 HERSHEY CO COM 427866108 2022 11945 SH SOLE 0 0 11945 HOME DEPOT INC COM 437076102 3080 9383 SH SOLE 0 0 9383 HP INC COM 40434L105 1797 65686 SH SOLE 0 0 65686 HUBBELL INC COM 443510607 1655 9163 SH SOLE 0 0 9163 ILLINOIS TOOL WKS INC COM 452308109 903 4368 SH SOLE 0 0 4368 ILLUMINA INC COM 452327109 533 1315 SH SOLE 0 0 1315 INTEL CORP COM 458140100 738 13842 SH SOLE 0 0 13842 INVESCO EXCHANGE TRADED FD T S&P500 EQL FIN 46137V340 892 14527 SH SOLE 0 0 14527 INVESCO EXCHANGE TRADED FD T WILDERHIL CLAN 46137V134 831 10754 SH SOLE 0 0 10754 INVESCO EXCHANGE TRADED FD T S&P500 EQL HLT 46137V332 928 3113 SH SOLE 0 0 3113 INVESCO EXCHANGE TRADED FD T S&P SPIN OFF 46137V159 629 10000 SH SOLE 0 0 10000 INVESCO EXCHANGE TRADED FD T S&P500 EQL STP 46137V373 405 2632 SH SOLE 0 0 2632 INVESCO QQQ TR UNIT SER 1 46090E103 3496 9767 SH SOLE 0 0 9767 ISHARES INC MSCI EURZONE ETF 464286608 699 14520 SH SOLE 0 0 14520 ISHARES INC MSCI JPN ETF NEW 46434G822 415 5903 SH SOLE 0 0 5903 ISHARES TR SHRT NAT MUN ETF 464288158 837 7782 SH SOLE 0 0 7782 ISHARES TR NATIONAL MUN ETF 464288414 2632 22659 SH SOLE 0 0 22659 ISHARES TR SELECT DIVID ETF 464287168 1078 9395 SH SOLE 0 0 9395 ISHARES TR INTL SEL DIV ETF 464288448 2736 89927 SH SOLE 0 0 89927 ISHARES TR US HLTHCARE ETF 464287762 268 972 SH SOLE 0 0 972 ISHARES TR U.S. TECH ETF 464287721 1523 15040 SH SOLE 0 0 15040 ISHARES TR JPMORGAN USD EMG 464288281 9350 84956 SH SOLE 0 0 84956 ISHARES TR US OIL EQ&SV ETF 464288844 505 36863 SH SOLE 0 0 36863 ISHARES TR SP SMCP600VL ETF 464287879 1921 19077 SH SOLE 0 0 19077 ISHARES TR RUS 2000 GRW ETF 464287648 1303 4438 SH SOLE 0 0 4438 ISHARES TR U.S. FINLS ETF 464287788 413 5008 SH SOLE 0 0 5008 ISHARES TR CORE S&P SCP ETF 464287804 2244 20553 SH SOLE 0 0 20553 ISHARES TR GLB CNS DISC ETF 464288745 222 1345 SH SOLE 0 0 1345 ISHARES TR US INDUSTRIALS 464287754 398 3715 SH SOLE 0 0 3715 ISHARES TR PFD AND INCM SEC 464288687 1008 25968 SH SOLE 0 0 25968 ISHARES TR CORE DIV GRWTH 46434V621 1083 21565 SH SOLE 0 0 21565 ISHARES TR GRWT ALLOCAT ETF 464289867 299 5391 SH SOLE 0 0 5391 ISHARES TR RUS 1000 VAL ETF 464287598 641 4093 SH SOLE 0 0 4093 ISHARES TR IBOXX INV CP ETF 464287242 1671 12565 SH SOLE 0 0 12565 ISHARES TR RUS MDCP VAL ETF 464287473 7278 64266 SH SOLE 0 0 64266 ISHARES TR CORE INTL AGGR 46435G672 4120 74888 SH SOLE 0 0 74888 ISHARES TR CORE US AGGBD ET 464287226 1542 13429 SH SOLE 0 0 13429 ISHARES TR IBOXX HI YD ETF 464288513 8640 98757 SH SOLE 0 0 98757 ISHARES TR CORE S&P MCP ETF 464287507 949 3609 SH SOLE 0 0 3609 ISHARES TR S&P 500 VAL ETF 464287408 10133 69680 SH SOLE 0 0 69680 ISHARES TR RUS MID CAP ETF 464287499 1360 17386 SH SOLE 0 0 17386 ISHARES TR MSCI EMG MKT ETF 464287234 1147 22765 SH SOLE 0 0 22765 ISHARES TR RUS 1000 GRW ETF 464287614 16500 60212 SH SOLE 0 0 60212 ISHARES TR RUSSELL 2000 ETF 464287655 1547 7073 SH SOLE 0 0 7073 ISHARES TR RUS MD CP GR ETF 464287481 8773 78283 SH SOLE 0 0 78283 ISHARES TR 20 YR TR BD ETF 464287432 313 2166 SH SOLE 0 0 2166 ISHARES TR MSCI EAFE ETF 464287465 359 4596 SH SOLE 0 0 4596 ISHARES TR MODERT ALLOC ETF 464289875 401 8960 SH SOLE 0 0 8960 ISHARES TR MSCI USA MMENTM 46432F396 237 1350 SH SOLE 0 0 1350 JOHNSON & JOHNSON COM 478160104 433 2682 SH SOLE 0 0 2682 JPMORGAN CHASE & CO COM 46625H100 1935 11821 SH SOLE 0 0 11821 KNIGHT-SWIFT TRANSN HLDGS IN CL A 499049104 1751 34239 SH SOLE 0 0 34239 LEGGETT & PLATT INC COM 524660107 613 13681 SH SOLE 0 0 13681 LILLY ELI & CO COM 532457108 361 1563 SH SOLE 0 0 1563 LOCKHEED MARTIN CORP COM 539830109 258 747 SH SOLE 0 0 747 LYFT INC CL A COM 55087P104 415 7735 SH SOLE 0 0 7735 MARSH & MCLENNAN COS INC COM 571748102 1901 12551 SH SOLE 0 0 12551 MCDONALDS CORP COM 580135101 276 1144 SH SOLE 0 0 1144 MEDTRONIC PLC SHS G5960L103 210 1678 SH SOLE 0 0 1678 MERCK & CO INC COM 58933Y105 868 11552 SH SOLE 0 0 11552 MICROSOFT CORP COM 594918104 7377 26169 SH SOLE 0 0 26169 MORGAN STANLEY COM NEW 617446448 2714 27893 SH SOLE 0 0 27893 MOSAIC CO NEW COM 61945C103 1831 51256 SH SOLE 0 0 51256 NETAPP INC COM 64110D104 2378 26491 SH SOLE 0 0 26491 NEWMONT CORP COM 651639106 954 17572 SH SOLE 0 0 17572 NIKE INC CL B 654106103 1608 11073 SH SOLE 0 0 11073 NOVARTIS AG SPONSORED ADR 66987V109 285 3485 SH SOLE 0 0 3485 NUVEEN MUN VALUE FD INC COM 670928100 236 20884 SH SOLE 0 0 20884 NVIDIA CORPORATION COM 67066G104 6314 30481 SH SOLE 0 0 30481 ORACLE CORP COM 68389X105 749 8599 SH SOLE 0 0 8599 PEPSICO INC COM 713448108 209 1387 SH SOLE 0 0 1387 PERKINELMER INC COM 714046109 1347 7773 SH SOLE 0 0 7773 PFIZER INC COM 717081103 447 10390 SH SOLE 0 0 10390 PHATHOM PHARMACEUTICALS INC COM 71722W107 413 12872 SH SOLE 0 0 12872 PHILIP MORRIS INTL INC COM 718172109 264 2788 SH SOLE 0 0 2788 PIMCO ETF TR ACTIVE BD ETF 72201R775 18242 165010 SH SOLE 0 0 165010 PIMCO ETF TR INTER MUN BD ACT 72201R866 2000 35478 SH SOLE 0 0 35478 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 352 3453 SH SOLE 0 0 3453 POWER INTEGRATIONS INC COM 739276103 1200 12126 SH SOLE 0 0 12126 PROCTER AND GAMBLE CO COM 742718109 209 1493 SH SOLE 0 0 1493 PROSHARES TR HGH YLD INT RATE 74348A541 3917 62135 SH SOLE 0 0 62135 PROSHARES TR INVT INT RT HG 74347B607 4214 55714 SH SOLE 0 0 55714 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 1860 30541 SH SOLE 0 0 30541 QUALCOMM INC COM 747525103 1978 15336 SH SOLE 0 0 15336 QUEST DIAGNOSTICS INC COM 74834L100 2252 15496 SH SOLE 0 0 15496 RELIANCE STEEL & ALUMINUM CO COM 759509102 1874 13155 SH SOLE 0 0 13155 RESMED INC COM 761152107 211 800 SH SOLE 0 0 800 ROYAL CARIBBEAN GROUP COM V7780T103 240 2700 SH SOLE 0 0 2700 SALESFORCE COM INC COM 79466L302 778 2870 SH SOLE 0 0 2870 SEALED AIR CORP NEW COM 81211K100 717 13089 SH SOLE 0 0 13089 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 1422 17748 SH SOLE 0 0 17748 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 439 2938 SH SOLE 0 0 2938 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 306 2405 SH SOLE 0 0 2405 SOUTHERN COPPER CORP COM 84265V105 882 15710 SH SOLE 0 0 15710 SPDR GOLD TR GOLD SHS 78463V107 1190 7247 SH SOLE 0 0 7247 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 2469 58044 SH SOLE 0 0 58044 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 4389 121216 SH SOLE 0 0 121216 SPDR S&P 500 ETF TR TR UNIT 78462F103 4077 9500 SH SOLE 0 0 9500 SPDR SER TR BLMBRG BRC CNVRT 78464A359 2390 28008 SH SOLE 0 0 28008 SPDR SER TR PORTFOLIO INTRMD 78464A375 20918 572789 SH SOLE 0 0 572789 SPDR SER TR BLOOMBERG BRCLYS 78468R622 956 8742 SH SOLE 0 0 8742 SPDR SER TR BBG SASB CRPT ES 78468R614 3881 156711 SH SOLE 0 0 156711 SPDR SER TR S&P 600 SMCP GRW 78464A201 637 7311 SH SOLE 0 0 7311 SPDR SER TR S&P 600 SMCP VAL 78464A300 614 7494 SH SOLE 0 0 7494 SPDR SER TR BLOOMBERG SRT TR 78468R408 274 10000 SH SOLE 0 0 10000 SPDR SER TR S&P 400 MDCP VAL 78464A839 1230 18568 SH SOLE 0 0 18568 SPDR SER TR S&P BIOTECH 78464A870 549 4369 SH SOLE 0 0 4369 SPDR SER TR SPDR BLOOMBERG 78468R663 369 4039 SH SOLE 0 0 4039 SPDR SER TR S&P HOMEBUILD 78464A888 519 7232 SH SOLE 0 0 7232 SPDR SER TR PRTFLO S&P500 GW 78464A409 6306 98504 SH SOLE 0 0 98504 SPDR SER TR PORTFOLIO SHORT 78464A474 22585 722705 SH SOLE 0 0 722705 SPDR SER TR NUVEEN BLMBRG SR 78468R739 637 12900 SH SOLE 0 0 12900 SPDR SER TR S&P METALS MNG 78464A755 1006 24092 SH SOLE 0 0 24092 SPDR SER TR PRTFLO S&P500 VL 78464A508 4168 106878 SH SOLE 0 0 106878 SPDR SER TR S&P DIVID ETF 78464A763 1885 16035 SH SOLE 0 0 16035 SPDR SER TR S&P 400 MDCP GRW 78464A821 1279 16903 SH SOLE 0 0 16903 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 206 12000 SH SOLE 0 0 12000 SPROTT PHYSICAL GOLD TR UNIT 85207H104 345 25000 SH SOLE 0 0 25000 STITCH FIX INC COM CL A 860897107 215 5386 SH SOLE 0 0 5386 STRYKER CORPORATION COM 863667101 219 830 SH SOLE 0 0 830 SYNNEX CORP COM 87162W100 645 6196 SH SOLE 0 0 6196 SYSCO CORP COM 871829107 228 2900 SH SOLE 0 0 2900 TARGET CORP COM 87612E106 2480 10841 SH SOLE 0 0 10841 TELEDYNE TECHNOLOGIES INC COM 879360105 215 500 SH SOLE 0 0 500 TESLA INC COM 88160R101 1480 1909 SH SOLE 0 0 1909 TG THERAPEUTICS INC COM 88322Q108 387 11623 SH SOLE 0 0 11623 TRUIST FINL CORP COM 89832Q109 375 6391 SH SOLE 0 0 6391 UNITEDHEALTH GROUP INC COM 91324P102 2251 5762 SH SOLE 0 0 5762 VANECK ETF TRUST SHRT HGH YLD MUN 92189F387 1011 40271 SH SOLE 0 0 40271 VANECK ETF TRUST GOLD MINERS ETF 92189F106 841 28527 SH SOLE 0 0 28527 VANECK ETF TRUST HIGH YLD MUNIETF 92189H409 997 15953 SH SOLE 0 0 15953 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 361 4408 SH SOLE 0 0 4408 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 214 2507 SH SOLE 0 0 2507 VANGUARD INDEX FDS GROWTH ETF 922908736 250 862 SH SOLE 0 0 862 VANGUARD INDEX FDS VALUE ETF 922908744 223 1645 SH SOLE 0 0 1645 VANGUARD INDEX FDS SML CP GRW ETF 922908595 201 716 SH SOLE 0 0 716 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 527 5180 SH SOLE 0 0 5180 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 3990 65447 SH SOLE 0 0 65447 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 3237 64728 SH SOLE 0 0 64728 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 1052 19200 SH SOLE 0 0 19200 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 514 6232 SH SOLE 0 0 6232 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 3912 25467 SH SOLE 0 0 25467 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 345 6837 SH SOLE 0 0 6837 VANGUARD WHITEHALL FDS INTL DVD ETF 921946810 350 4016 SH SOLE 0 0 4016 VERIZON COMMUNICATIONS INC COM 92343V104 2356 43629 SH SOLE 0 0 43629 VISA INC COM CL A 92826C839 2050 9205 SH SOLE 0 0 9205 WALMART INC COM 931142103 2017 14468 SH SOLE 0 0 14468 WELLS FARGO CO NEW COM 949746101 1642 35371 SH SOLE 0 0 35371 WHIRLPOOL CORP COM 963320106 593 2911 SH SOLE 0 0 2911 WISDOMTREE TR US QTLY DIV GRT 97717X669 1518 25797 SH SOLE 0 0 25797 XILINX INC COM 983919101 214 1418 SH SOLE 0 0 1418 YUM BRANDS INC COM 988498101 514 4204 SH SOLE 0 0 4204