THE KOCEN FINANCIAL GROUP, INC.
Adviser information for THE KOCEN FINANCIAL GROUP, INC. last updated from Form ADV on March 15th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 725 | $140.3M |
| Non-Discretionary | 0 | $0 |
| Total | 725 | $140.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 130 | $24.0M |
| HNW Individuals | 87 | $105.7M |
| 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 | 8 | $10.1M |
| 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 | <5 | $431,744 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-64553 |
|---|---|
| SEC ERA File Number | 801-64553 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 112129 |
| Legal Entity Identifier | None |
Principal Office
35900 BOB HOPE DR., SUITE 202RANCHO MIRAGE
CA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 760-324-4015, Fax: 760-324-4301
Websites
Chief Compliance Officer
BRYAN STUART KOCEN
PRESIDENT
35-900 BOB HOPE DR. SUITE 202
RANCHO MIRAGE
CA
United States
Tel:
760-324-4015
Fax:
760-324-4301
B****@*********M
(Full email address available in API data)
Regulatory Contact
JOEL KOCEN
PRINCIPAL
35-900 BOB HOPE DR. SUITE 202
RANCHO MIRAGE
CA
United States
Tel:
760-324-4015
Fax:
760-324-4301
J***@*********M
(Full email address available in API data)
Industry Affiliates
| FINANCIAL GOAL SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KOCEN, BRYAN, STUART | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 01/1991 | < 5% |
| THE KOCEN LIVING TRUST, U/A DATED DECEMBER 18, 2018 | Domestic Entity | – | OWNER | 12/2018 | > 75% |
| KOCEN, BRYAN, STUART | Individual | THE KOCEN LIVING TRUST, U/A DATED DECEMBER 18, 2018 | TRUSTEE | 12/2018 |