AUMdb

Kc Asset Management, Inc.

SEC-registered Wealth Manager · Small ($100M–$1B) CRD 154321 · SEC file 801-131547 · · www.kagancocozza.com
☆ Save with Pro ADV data as of Jan 21, 2026
Regulatory AUM
$165M
Discretionary
$165M
Clients
139
Avg AUM / client
$1.2M
Accounts
419
Employees
2

AUM over time

$38.5M $165M
Mar 5, 2012 Jan 21, 2026

Reported AUM from Form ADV filings, plotted by filing date · as of Jan 21, 2026

Investments (13F portfolio — 69 positions, $142,116,269)

13F period Mar 31, 2026
#IssuerClassValueShares% of 13F% of AUM
1 Spdr Series Trust STATE STREET SPD $20,705,015 270,512 14.6% 12.5%
2 Spdr Series Trust STATE STREET SPD $17,937,839 700,150 12.6% 10.8%
3 Spdr Index Shs Fds STATE STREET SPD $11,969,041 262,191 8.42% 7.24%
4 Spdr Series Trust STATE STREET SPD $9,271,683 276,437 6.52% 5.61%
5 Vanguard Specialized Funds DIV APP ETF $7,920,509 36,829 5.57% 4.79%
6 Vanguard Index Fds MID CAP ETF $7,390,018 25,733 5.2% 4.47%
7 Ishares Tr CORE US AGGBD ET $6,338,324 63,849 4.46% 3.83%
8 Vanguard Intl Equity Index F FTSE EMR MKT ETF $5,256,050 97,244 3.7% 3.18%
9 Vanguard Index Fds REAL ESTATE ETF $4,739,907 53,438 3.34% 2.87%
10 Ishares Tr CORE S&P SCP ETF $3,765,572 30,292 2.65% 2.28%
11 State Str Spdr S&P 500 Etf T TR UNIT $3,568,416 5,487 2.51% 2.16%
12 Spdr Series Trust STATE STREET SPD $3,429,489 57,911 2.41% 2.07%
13 Select Sector Spdr Tr STATE STREET TEC $3,159,733 23,775 2.22% 1.91%
14 Eli Lilly & Co COM $2,210,246 2,403 1.56% 1.34%
15 Ishares Tr CORE S&P500 ETF $2,011,950 3,080 1.42% 1.22%
16 Apple Inc COM $1,511,827 5,957 1.06% 0.91%
17 Meta Platforms Inc CL A $1,363,958 2,384 0.96% 0.82%
18 Spdr Index Shs Fds STATE STREET SPD $1,334,402 28,446 0.94% 0.81%
19 Spdr Series Trust STATE STREET SPD $1,215,861 25,163 0.86% 0.74%
20 Spdr Series Trust STATE STREET SPD $1,127,758 24,775 0.79% 0.68%
21 Ishares Tr CRE U S REIT ETF $1,016,411 17,172 0.72% 0.61%
22 Vanguard Tax Managed Fds VAN FTSE DEV MKT $1,006,242 15,703 0.71% 0.61%
23 Consolidated Edison Inc COM $934,414 8,256 0.66% 0.56%
24 Select Sector Spdr Tr STATE STREET IND $907,467 5,611 0.64% 0.55%
25 Aflac Inc COM $906,336 8,261 0.64% 0.55%

Top 25 of 69 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).

Who they serve

Client typeClientsAUM% of AUM
Individuals (non-high net worth) 88 $41.3M 25.0%
High net worth individuals 51 $124M 75.0%

People (2)

roster as of Jul 20, 2026
NameRole / titleCredentialsWith firm sinceOwnership
Laurence Michael Kagan Co President Jul 2010 (16y) 50% – 75%
Michael Timothy Cocozza Co President And Chief Compliance Officer Jul 2010 (16y) 50% – 75%

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)

FormPeriodSize
Form ADV (full filing) 01/21/2026 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

Services

  • • Portfolio management for individuals/small businesses
  • • Portfolio management for businesses/institutional clients

Custody

Reported custodians

Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).

Firm reports having 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: Jan 21, 2026.

View current Form ADV (SEC/IAPD) ↗