Jocelyn Investment Management, LLC (San Rafael)

Name: Jocelyn Investment Management, LLC
Address: 100 Smith Ranch Road, San Rafael, CA, 94903
Telephone: 415-256-1795

Jocelyn Investment Management, LLC is a large advisory firm based in San Rafael. It manages $333.96 million of regulatory assets for 167 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of California, Colorado, and Hawaii.

Jocelyn Investment Management provides portfolio management for individuals and small businesses and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Jocelyn Investment Management: assets under management

The assets under management (AUM) of Jocelyn Investment Management, LLC is $333.96 million. The firm's AUM has grown by 5058% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $48.21 million in discretionary accounts and $285.75 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.07 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $2.34 million.

Investments

The firm invests in investment and business development companies the most. They account for 78% of the total AUM. The second-largest asset type is exchange traded securities, which make up 10% of the firm’s portfolio. Investments in cash and cash equivalents form 10% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Jocelyn Investment Management, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Jocelyn Investment Management serves?

The firm provides services to high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Jocelyn Investment Management is pension and profit sharing plans with 130 clients and $316.04 million of assets under management. Among the 11 most similar advisory firms, Jocelyn Investment Management has the highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $333.96 million for 137 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Jocelyn Investment Management doesn't advise any private funds.

Careers at Jocelyn Investment Management, LLC

The company employs 2 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Llc Jocelyn Consulting	Owner	1 Jul 2007	75% - 100%	75-2986684
Nicholas Alden Jocelyn	Principal	1 Jul 2007	25% - 50%	4236344
Robert A Jocelyn	Managing principal, chief compliance officer	1 Jul 2007	Other	5407930

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Robert A Jocelyn	President	1 Jan 2002	50% - 75%	5407930
Sharon Jocelyn	Owner	1 Jan 2002	50% - 75%	5409132
Nicholas Alden Jocelyn	Owner	1 Feb 2019	25% - 50%	4236344

Based in San Rafael

The principal office where Jocelyn Investment Management, LLC performs its advisory services is located at 100 Smith Ranch Road, San Rafael, CA 94903, which is also the mailing address of the firm. An additional office of the firm is in Boulder, CO. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 415-256-1795 or by fax 415-532-2366. The normal business hours are 8:00 am - 4:00 pm on Monday - Friday. You can find more information about the New York firm at jocelyninvestment.com.