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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 1b 10b

JOCELYN INVESTMENT MANAGEMENT, LLC

CRD 323831

SAN RAFAEL, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:63dfb831-23b9-6a22-a5e0-b00d3a4c2e52

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 4
On other graphs: 2
Observed: Oct 20, 2022 to Mar 27, 2026
8 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand; an owner is a different entity, resolved from Schedule A/B

Allocatorsidentity

Jocelyn Investment Management, LLC

Investment consultant · shared crd

RIA / Wealth Managementidentity

JOCELYN INVESTMENT MANAGEMENT, LLC

Registered adviser · shared crd

Private Equityowner

Shore Capital Business Services Partners Fund I, L.P.

owned by this fund per Schedule A/B (the fund is on its sponsor's Form ADV) · confidence 90% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: institutional managerderivedprivate_client_share=0.05 fund_share=0.0 institutional_share=0.94 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.0BItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $104M
Private client RAUM: $54.6MderivedItem 5.D individuals plus high net worth individuals
Private client share: 5%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 268
Individual clients: 0
High net worth clients: 19
SEC number: 801-126910
CRD: 323831
Filings on the tape: 8
First filed: Oct 20, 2022
Latest filed: Mar 27, 2026
Organised: Limited Liability Company, CA
Website: jocelyninvestment.com

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
HOWARDSIMON, LLC	Owner	E	yes	09/2022	Oct 20, 2022	Aug 16, 2024
HS SELLER HOLDINGS, INC.	Owner	C	yes	09/2022	Oct 20, 2022	Aug 16, 2024
JOCELYN, NICHOLAS, ALDEN	VICE CHAIRMAN, VICE PRESIDENT, SECRETARY	Na	yes	09/2022	Oct 20, 2022	Aug 16, 2024
JOCELYN, ROBERT, A	CHAIRMAN, PRESIDENT, CHIEF COMPLIANCE OFFICER	Na	yes	09/2022	Oct 20, 2022	Aug 16, 2024
SCP RETIREMENT SERVICES INVESTOR, LLC	Owner	D	yes	09/2022	Oct 20, 2022	Aug 16, 2024
SCP RETIREMENT SERVICES, LLC	Owner	E	yes	09/2022	Oct 20, 2022	Aug 16, 2024
SCP RS INTERMEDIATE HOLDCO, LLC	Owner	E	yes	09/2022	Oct 20, 2022	Aug 16, 2024
SHORE CAPITAL BUSINESS SERVICES PARTNERS FUND I, L.P.	Owner	E	yes	09/2022	Oct 20, 2022	Aug 16, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Boulder	Co	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026	$1.0B	$104M	2	2	1	n/a	n/a
2024	Feb 1, 2025	$920M	$90.4M	2	2	1	n/a	n/a
2023	Mar 5, 2024	$634M	$80.4M	2	2	1	n/a	n/a
2022	Mar 22, 2023	$496M	$66.4M	2	2	1	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.0B	$920M	10.2%	$496M	26.9%	2	2	1	1

Relationships

Controls (8)

← JOCELYN, NICHOLAS, ALDENOwnerVICE CHAIRMAN, VICE PRESIDENT, SECRETARY, ownership code NA, individual
Oct 20, 2022 to Aug 16, 2024factForm ADV
← JOCELYN, ROBERT, AOwnerCHAIRMAN, PRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 20, 2022 to Aug 16, 2024factForm ADV
← HOWARDSIMON, LLCOwnerOWNER, ownership code E, domestic entity
Oct 20, 2022 to Aug 16, 2024factForm ADV
← HS SELLER HOLDINGS, INC.OwnerOWNER, ownership code C, domestic entity
Oct 20, 2022 to Aug 16, 2024factForm ADV
← SCP RETIREMENT SERVICES INVESTOR, LLCOwnerOWNER, ownership code D, domestic entity
Oct 20, 2022 to Aug 16, 2024factForm ADV
← SCP RETIREMENT SERVICES, LLCOwnerOWNER, ownership code E, domestic entity
Oct 20, 2022 to Aug 16, 2024factForm ADV
← SCP RS INTERMEDIATE HOLDCO, LLCOwnerOWNER, ownership code E, domestic entity
Oct 20, 2022 to Aug 16, 2024factForm ADV
← SHORE CAPITAL BUSINESS SERVICES PARTNERS FUND I, L.P.OwnerOWNER, ownership code E, domestic entity
Oct 20, 2022 to Aug 16, 2024factForm ADV

Dated events

Occurred
Feb 1, 2025
Regulatory AUM changed
Jocelyn Investment Management, Llc reported RAUM $919.7M, up 45% from $634.2M (2024-08-16 to 2025-02-01)
Form ADVobserved 5 days ago
$286M
Occurred
Mar 5, 2024
Regulatory AUM changed
Jocelyn Investment Management, Llc reported RAUM $634.2M, up 28% from $496.2M (2023-11-17 to 2024-03-05)
Form ADVobserved 5 days ago
$138M
Occurred
Oct 20, 2022
Succession filed (Item 4)
Jocelyn Investment Management, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago
Occurred
Oct 20, 2022
First Form ADV filing
Jocelyn Investment Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:63dfb831-23b9-6a22-a5e0-b00d3a4c2e52
First observed: Oct 20, 2022
Last observed: Mar 27, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

JOCELYN INVESTMENT MANAGEMENT, LLC

CRD 323831

SAN RAFAEL, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:63dfb831-23b9-6a22-a5e0-b00d3a4c2e52

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:05 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HOWARDSIMON, LLC

Owner

yes

09/2022

Oct 20, 2022

Aug 16, 2024

HS SELLER HOLDINGS, INC.

Owner

yes

09/2022

Oct 20, 2022

Aug 16, 2024

JOCELYN, NICHOLAS, ALDEN

VICE CHAIRMAN, VICE PRESIDENT, SECRETARY

yes

09/2022

Oct 20, 2022

Aug 16, 2024

JOCELYN, ROBERT, A

CHAIRMAN, PRESIDENT, CHIEF COMPLIANCE OFFICER

yes

09/2022

Oct 20, 2022

Aug 16, 2024

SCP RETIREMENT SERVICES INVESTOR, LLC

Owner

yes

09/2022

Oct 20, 2022

Aug 16, 2024

SCP RETIREMENT SERVICES, LLC

Owner

yes

09/2022

Oct 20, 2022

Aug 16, 2024

SCP RS INTERMEDIATE HOLDCO, LLC

Owner

yes

09/2022

Oct 20, 2022

Aug 16, 2024

SHORE CAPITAL BUSINESS SERVICES PARTNERS FUND I, L.P.

Owner

yes

09/2022

Oct 20, 2022

Aug 16, 2024

City

State

Country

Employees

Also broker-dealer

Boulder

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$1.0B

$104M

n/a

2024

Feb 1, 2025

$920M

$90.4M

n/a

2023

Mar 5, 2024

$634M

$80.4M

n/a

2022

Mar 22, 2023

$496M

$66.4M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.0B

$920M

10.2%

$496M

26.9%