# Jocelyn Investment Management, LLC

> Jocelyn Investment Management, LLC is an SEC-registered investment advisory firm in San Rafael, CA, registered since 2022, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 27, 2026.

- CRD: 323831
- Filed as: JOCELYN INVESTMENT MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: San Rafael, CA
- Filing period: October 2026
- Form ADV filing dated: March 27, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/323831
- AdvisorCensus page: https://advisorcensus.com/firm/jocelyn-investment-management-llc-san-rafael-ca-323831

## Quick answers

**How is Jocelyn Investment Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Jocelyn Investment Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Jocelyn Investment Management, LLC located?**
Jocelyn Investment Management, LLC's principal office is in San Rafael, CA, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is Jocelyn Investment Management, LLC registered with the SEC or a state?**
Jocelyn Investment Management, LLC is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 323831.

**How much does Jocelyn Investment Management, LLC manage?**
Jocelyn Investment Management, LLC reports $1,013,115,876 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (10% discretionary).

**How have Jocelyn Investment Management, LLC's assets and staff changed since 2023?**
In the Form ADV data for Jocelyn Investment Management, LLC: Regulatory assets under management: $496,229,131 in the October 2023 data and $1,013,115,876 in the October 2026 data, up 104%. Total employees: 2 in October 2023 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Jocelyn Investment Management, LLC serve?**
By number of clients on Form ADV Item 5.D: pension and profit sharing plans (but not the plan participants or government pension plans) (239); high net worth individuals (19); corporations or other businesses not listed above (1).

**Which custodians does Jocelyn Investment Management, LLC use?**
Jocelyn Investment Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc., Charles Schwab Trust Bank and Matrix Trust Company as custodians holding 10% or more of its separately managed account assets.

**Does Jocelyn Investment Management, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/323831

**What changed in Jocelyn Investment Management, LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $919,687,066 to $1,013,115,876 (+10%). Registered or notice-filed in AZ.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Charles Schwab Trust Bank
- Matrix Trust Company

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $1,013,115,876
- Discretionary: $103,963,761
- Non-discretionary: $909,152,115

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 0 | $0 |
| High net worth individuals | 19 | $54,645,542 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 239 | $957,014,001 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 1 | $1,456,333 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Pension consulting services

### Firm details
- Registered since: 2022 (3 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CA, CO, IL, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Boulder, CO

### Websites listed on Form ADV (Item 1.I)
- jocelyninvestment.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2023 | $496,229,131 | 2 | March 22, 2023 |
| October 2024 | $634,174,576 | 2 | August 16, 2024 |
| October 2025 | $919,687,066 | 2 | February 1, 2025 |
| October 2026 | $1,013,115,876 | 2 | March 27, 2026 |

Regulatory assets under management: $496,229,131 in the October 2023 data and $1,013,115,876 in the October 2026 data, up 104%.
Total employees: 2 in October 2023 and 2 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $919,687,066 to $1,013,115,876 (+10%).
- Registered or notice-filed in AZ.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Jocelyn Investment Management, LLC (CRD 323831): Form ADV filing data as of October 2026.