JOCELYN INVESTMENT MANAGEMENT, LLC
Adviser information for JOCELYN INVESTMENT MANAGEMENT, LLC last updated from Form ADV on March 5th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 60 | $80.4M |
| Non-Discretionary | 166 | $553.8M |
| Total | 226 | $634.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 9 | $15.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 204 | $616.8M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 1 | $2.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-126910 |
|---|---|
| SEC ERA File Number | 801-126910 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 323831 |
| Legal Entity Identifier | None |
Principal Office
100 SMITH RANCH ROADSUITE 329
SAN RAFAEL
CA
United States
Monday - Friday, 8:00AM - 4:00PM
Tel: 415-256-1795, Fax: 415-532-2366
Websites
Chief Compliance Officer
ROBERT A. JOCELYN
MANAGING PRINCIPAL, PORTFOLIO MANAGER
100 SMITH RANCH ROAD
SUITE 329
SAN RAFAEL
CA
United States
Tel:
415-256-1795
Fax:
415-532-2366
B**@********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HOWARDSIMON, LLC | Domestic Entity | – | OWNER | 09/2022 | > 75% |
| JOCELYN, ROBERT, A | Individual | – | CHAIRMAN, PRESIDENT, CHIEF COMPLIANCE OFFICER | 09/2022 | < 5% |
| JOCELYN, NICHOLAS, ALDEN | Individual | – | VICE CHAIRMAN, VICE PRESIDENT, SECRETARY | 09/2022 | < 5% |
| SCP RS INTERMEDIATE HOLDCO, LLC | Domestic Entity | HOWARDSIMON, LLC | OWNER | 09/2022 | > 75% |
| SCP RETIREMENT SERVICES, LLC | Domestic Entity | SCP RS INTERMEDIATE HOLDCO, LLC | OWNER | 09/2022 | > 75% |
| SCP RETIREMENT SERVICES INVESTOR, LLC | Domestic Entity | SCP RETIREMENT SERVICES, LLC | OWNER | 09/2022 | 50-75% |
| SHORE CAPITAL BUSINESS SERVICES PARTNERS FUND I, L.P. | Domestic Entity | SCP RETIREMENT SERVICES INVESTOR, LLC | OWNER | 09/2022 | > 75% |
| HS SELLER HOLDINGS, INC. | Domestic Entity | SCP RETIREMENT SERVICES, LLC | OWNER | 09/2022 | 25-50% |