Jocelyn Investment Management, LLC

CRD#323831
Investment Advisor Firm

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Learn more about Jocelyn Investment Management, LLC

  • Overview
  • By the Numbers
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations

    • Overview

    Jocelyn Investment Management, LLC is located at 100 Smith Ranch Road, San Rafael, CA. The firm employs 2 financial advisors to manage client portfolios and provide financial guidance. Jocelyn Investment Management, LLC is not a registered broker-dealer.

    Jocelyn Investment Management, LLC oversees $634.2 million in assets under management across 226 accounts, of which 60 are discretionary and 166 are non-discretionary. The services offered include portfolio management for individuals and small businesses, and pension consulting services. The firm caters to high net worth investors, pension plans, and corporations, with pension plans being the largest client type by accounts. The fee structure at Jocelyn Investment Management, LLC includes asset-based, hourly, and fixed fees. The firm has 9 high net worth clients and maintains affiliations with a pension consultant.

    Jocelyn Investment Management, LLC is registered in the states of California, Colorado, and Texas.

    Assets Under Management

    $634.2 million

    Number of Advisors

    2

    Disclosures

    No

    Office Location

    100 Smith Ranch Road
    San Rafael, CA 94903

    Jocelyn Investment Management, LLC by the Numbers

    Total Assets Under Management

    $634.2 million

    National Average: $8.6 billion
    Total Number of Employees

    2

    National Average: 64
    Total Number of Accounts

    226

    National Average: 375,227
    Average Account Size

    $2.8 million

    National Average: $23.0 thousand
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    Fee Structure

    Financial advisory fees typically depend on the financial services provided. Fees charged by Jocelyn Investment Management, LLC most likely include any combination of the following fee structures: asset-based, hourly, or fixed.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 21% of firms

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Offered by 32% of firms

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    Unavailable

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 26% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Types of Clients

    The firm provides services to high net worth investors, pension plans, and corporations. Out of its 3 clients, Jocelyn Investment Management, LLC's largest client type by number of accounts is pension plans, although it also serves 9 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an investor who has at least $750,000 under management or a net worth of at least $1,50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments).

    • High-Net-Worth Individuals* - 4.21%
    • Other Individuals - 0%
    • Corporations - 95.79%
    • Charitable Organizations - 0%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Jocelyn Investment Management, LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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