Jocelyn Investment Management, Llc
- Regulatory AUM
- $1.0B
- Discretionary
- $104M
- Clients
- 259
- Avg AUM / client
- $3.9M
- Accounts
- 268
- Employees
- 2
AUM over time
Annual snapshots from Form ADV filings · as of Mar 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 19 | $54.6M | 5.39% |
| Pension and profit sharing plans | 239 | $957M | 94.5% |
| Corporations and other businesses | 1 | $1.5M | 0.14% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Rego Restaurants 401(k) Plan Rego Intermediate Holdings Company Llc | 2024 | |
| Ufcw Employers Benefit Plans Group Administration Llc Safe Harbor 401(k) Plan Ufcw Employers Benefit Plans Of Northern California Group Admin Llc | 2024 |
People (2)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Jocelyn, Nicholas, Alden | Vice Chairman, Vice President, Secretary | Sep 2022 (4y) | Less than 5% | |
| Jocelyn, Robert, A | Chairman, President, Chief Compliance Officer | Sep 2022 (4y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Howardsimon, Llc | Owner | Sep 2022 | A | 75% or more |
| Scp Rs Intermediate Holdco, Llc | Owner | Sep 2022 | B | ≈ 56.25% – 100% via Howardsimon, Llc |
| Scp Retirement Services, Llc | Owner | Sep 2022 | B | ≈ 42.19% – 100% via Scp Rs Intermediate Holdco, Llc |
| Shore Capital Business Services Partners Fund I, L.P. | Owner | Sep 2022 | B | ≈ 15.82% – 75% via Scp Retirement Services Investor, Llc |
| Scp Retirement Services Investor, Llc | Owner | Sep 2022 | B | ≈ 21.09% – 75% via Scp Retirement Services, Llc |
| Hs Seller Holdings, Inc. | Owner | Sep 2022 | B | ≈ 10.55% – 50% via Scp Retirement Services, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Scp Rs Intermediate Holdco, Llc: 75% – 100% of Howardsimon, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Scp Retirement Services, Llc: 75% – 100% of Scp Rs Intermediate Holdco, Llc × 75% – 100% of Howardsimon, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Shore Capital Business Services Partners Fund I, L.P.: 75% – 100% of Scp Retirement Services Investor, Llc × 50% – 75% of Scp Retirement Services, Llc × 75% – 100% of Scp Rs Intermediate Holdco, Llc × 75% – 100% of Howardsimon, Llc × 75% – 100% direct ≈ 15.82% – 75% of the firm
- Scp Retirement Services Investor, Llc: 50% – 75% of Scp Retirement Services, Llc × 75% – 100% of Scp Rs Intermediate Holdco, Llc × 75% – 100% of Howardsimon, Llc × 75% – 100% direct ≈ 21.09% – 75% of the firm
- Hs Seller Holdings, Inc.: 25% – 50% of Scp Retirement Services, Llc × 75% – 100% of Scp Rs Intermediate Holdco, Llc × 75% – 100% of Howardsimon, Llc × 75% – 100% direct ≈ 10.55% – 50% of the firm
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.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Rego Restaurants 401(k) Plan | Rego Intermediate Holdings Company Llc | 1,030 | $19.0M | 01/01/2024 |
| Ufcw Employers Benefit Plans Group Administration Llc Safe Harbor 401(k) Plan | Ufcw Employers Benefit Plans Of Northern California Group Admin Llc | 140 | $24.9M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 957 KB | 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
- • Hourly charges
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $738M (73% of AUM) Mar 2026
- Matrix Trust Company $159M (16% 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 27, 2026.
View current Form ADV (SEC/IAPD) ↗