The Kocen Financial Group, Inc.
- Regulatory AUM
- $186M
- Discretionary
- $186M
- Clients
- 222
- Avg AUM / client
- $837K
- Accounts
- 773
- Employees
- 5
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 129 | $29.6M | 15.9% |
| High net worth individuals | 84 | $145M | 77.8% |
| Pension and profit sharing plans | 9 | $11.4M | 6.12% |
| Corporations and other businesses | Fewer than 5 clients | $303K | 0.16% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Bryan Stuart Kocen | President | Jan 1991 (36y) | Less than 5% | |
| David Tsikman | Chief Compliance Officer | Aug 2024 (2y) | Less than 5% | |
| Joel Evan Kocen | Registered representative | Nov 2003 (23y) | ||
| John Bartholomew Wills | Registered representative | Aug 2018 (8y) | ||
| Penny Jacqueline Houseman | Registered representative | Mar 2020 (6y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| The Kocen Living Trust, U/A Dated December 18, 2018 | Owner | Dec 2018 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.03 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $90.4M (49% of AUM) Mar 2026
- SEI Private Trust $88.4M (48% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗