Asset manager · SAN Rafael, CA
Jocelyn Investment Management, LLC
SEC-registered investment adviser · CRD 323831 · SEC 801-126910
At a glance
Jocelyn Investment Management, LLC is an SEC-registered investment adviser based in SAN Rafael, California, with $1.0 billion in regulatory assets under management as of its Form ADV filed March 27, 2026. Its largest client group by assets is pension and profit sharing plans, and it reports 19 individual clients. By Form ADV it is a asset manager, ranked 1,350th of 3,218 asset managers and 5,337th of 17,210 SEC-registered advisers by assets.
Main office 415-256-1795jocelyninvestment.comAs filed on Form ADV
- Regulatory AUM
- $1.0B
- Rank among asset managers
- #1,350 of 3,218
- Rank among all SEC RIAs
- #5,337 of 17,210
- Rank in California
- #617 of 1,873
- Individual clients
- 19
- High-net-worth clients
- 19
- Accounts
- 268
- Discretionary
- 10% of AUM
- Employees
- 2
- Advisory staff
- 2
- Offices
- 2
Owners and executives on its Form ADV
- Robert A JocelynChairman, President, Chief Compliance Officer
- Nicholas A. JocelynVice Chairman, Vice President, Secretary
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pension and profit sharing plans | 239 | $957M | 94% |
| High-net-worth individuals | 19 | $55M | 5% |
| Corporations or other businesses | 1 | $1M | <1% |
Disciplinary disclosures
Jocelyn Investment Management, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Pension consulting
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗jocelyninvestment.com ↗
AtlasMembers
The full record on Jocelyn Investment Management, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 3 years of filings
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- Growth over one, three and five years
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- Rank against 996 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Jocelyn Investment Management, LLC manage?
Jocelyn Investment Management, LLC reports $1.0 billion in regulatory assets under management across 268 accounts, 10% of it on a discretionary basis, on its Form ADV filed March 27, 2026.
What kind of firm is Jocelyn Investment Management, LLC?
Jocelyn Investment Management, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Jocelyn Investment Management, LLC’s clients?
By assets, its largest client types are pension and profit sharing plans ($957 million, 239 clients); high-net-worth individuals ($55 million, 19 clients); corporations or other businesses ($1 million, 1 clients).
Does Jocelyn Investment Management, LLC have any disciplinary history?
Jocelyn Investment Management, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Jocelyn Investment Management, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-27), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →