Jocelyn Investment Management

What Jocelyn Investment Management does

Jocelyn Investment Management, LLC is a fee-only Registered Investment Advisory firm headquartered at 100 Smith Ranch Road, Ste. 329, San Rafael, California. The firm provides asset management services across two core segments: retirement plan advisory for businesses that sponsor 401(k), profit sharing, defined benefit pension, and cash balance pension plans; and wealth management for high net worth and high income individuals. Its retirement plan offering centers on a documented systematic written process designed to help Plan Fiduciaries discharge duties under ERISA, including investment selection, quarterly monitoring of fund managers against peer groups and benchmarks, committee meeting facilitation and documentation, and participant communications.

The firm operates a direct sales motion, reaching Plan Sponsors, 401(k) committees, and prospective wealth management clients through phone, email, and website inquiries. It earns revenue through advisory fees charged directly to clients under a fee-only compensation model that eliminates commission-based conflicts of interest. Its sister firm, Jocelyn Pension Consulting, LLC, provides complementary administrative, consulting, and recordkeeping services, allowing Jocelyn Investment Management to offer a bundled service stack for retirement plan clients.

The firm operates from a single office, serves the San Francisco Bay Area market, and has not disclosed headcount, AUM, revenue, funding history, or ownership structure. There is no evidence of proprietary technology beyond documented fiduciary processes, and no disclosed AI/ML, app, or API capabilities. The company is privately held with no public ticker and no parent company identified in available data.

Name

Jocelyn Investment Management

Legal name

Jocelyn Investment Management, LLC

Website

https://jocelyninvestment.com

Company type

Private

Operating status

Operating

Headcount range

11–50 employees

Short description

Jocelyn Investment Management is a fee-only Registered Investment Advisory firm in San Rafael, California, providing ERISA-compliant retirement plan advisory and investment management to plan sponsors and wealth management to high net worth individuals.

Ownership category

akta.pro rank

Product category

Investment Advisory & Retirement Plan Services

NAICS

Portfolio Management and Investment Advice (523940)

SIC

Investment Advice (6282)

akta.pro primary industry

Institutional Consulting RIAs (OCIO/Endowments/Foundations/Pensions) (FSAAACAG)

akta.pro secondary industry

Advisory Portfolio Management (Non-Discretionary) (FSAAABAD)

Keywords

• Investment advisory services
• Retirement plan consulting
• Wealth management services
• 401(k) plan management
• Fiduciary advisory services

Headquarters

HQ city

San Rafael

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B and B2C

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales, Technology or R&D

Revenue model

1. Investment Advisory Fees: The firm operates as a fee-only investment advisory firm, meaning they are compensated directly by clients rather than through commissions on financial products. Revenue is generated through advisory fees charged to retirement plan sponsors and high net worth individuals for asset management and fiduciary advisory services.

Pricing tiers

Go-to-market motion1 record

Distribution channels1 record

Marketing channels1 record

Core offering

Jocelyn Investment Management, LLC is a fee-only Registered Investment Advisory firm that delivers asset management and advisory services focused on two lines: (1) Retirement Plan advisory for businesses (Plan Sponsors and 401(k) committees), including investment selection, quarterly monitoring against peer groups and benchmarks, committee meeting support, and participant communication under ERISA fiduciary duties; and (2) Wealth Management for high net worth and high income individuals, providing portfolio management and investment advisory services.

Product overview

Jocelyn Investment Management is a Registered Investment Advisory firm offering a portfolio of investment management and retirement plan advisory services. The core offerings include retirement plan advisory services, 401(k) plan investment management, and wealth management for high net worth individuals. The firm works with Plan Fiduciaries to help them discharge ERISA duties through systematic processes. A sister company, Jocelyn Pension Consulting, LLC, provides complementary administrative, consulting, and recordkeeping services for various retirement plan types.

Differentiator

Problem solved

Functional benefit

Products and services

• Retirement Plan Advisory Services Fiduciary advisory for Plan Sponsors and 401(k) committees, providing a systematic written process to select plan investments, monitor fund managers against peer groups and benchmark indices each quarter, support committee meetings, prepare and maintain minutes/documentation, and assist the Plan Sponsor with participant communications under ERISA.

Segments2 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Partnerships

One partnership is on record.

• Jocelyn Pension Consulting, LLCcoreStrategic or Co-development PartnerJocelyn Pension Consulting, LLC is described as a 'sister firm' to Jocelyn Investment Management. It provides administrative, consulting and recordkeeping services to all types of retirement plans including 401(k) plans, profit sharing plans, defined benefit pension plans, and cash balance pension plans. This partnership enables Jocelyn Investment Management to offer comprehensive retirement plan services, combining investment advisory with administrative and recordkeeping support. The relationship allows referrals between the two firms for holistic retirement plan service delivery.

Recent moves3 records

Expansion highlights1 record

Direct peers

• SageView Advisory Group: Specialist retirement plan consulting and investment advisory firm offering fiduciary services to plan sponsors, directly comparable to Jocelyn's retirement plan advisory offering.
• Fiducient Advisors: RIA providing investment advisory and consulting to institutional clients including retirement plan sponsors, competing in the same fiduciary advisory space as Jocelyn.
• RPAG (Retirement Plan Advisory Group): Established retirement plan advisory firm providing fiduciary investment advice to plan sponsors; directly comparable product offering to Jocelyn's retirement plan services.
• Strategic Retirement Partners: Retirement plan consulting and advisory firm focused exclusively on ERISA plan sponsor advisory; competes directly with Jocelyn in plan investment selection and monitoring.
• CAPTRUST Financial Advisors: Large RIA focused on retirement plan advisory services for plan sponsors and individual wealth management; competes head-to-head with Jocelyn in the same fiduciary plan advisory niche.

Broad incumbents

• Cetera Financial Group: Broker-dealer/RIA support platform hosting independent advisors serving retirement plan and wealth clients; provides infrastructure comparable to what Jocelyn uses as a fee-only RIA.
• Mercer Advisors: Large national RIA offering wealth management and retirement plan services; broader portfolio than Jocelyn but overlapping in retirement plan and high-net-worth advisory.
• Edelman Financial Engines: Large-scale RIA combining retirement plan participant advice with wealth management; serves overlapping market segments to Jocelyn including plan sponsors and high net worth individuals.
• Commonwealth Financial Network: Large independent RIA network supporting advisor firms across retirement plan and wealth management services; relevant comparable given Jocelyn's RIA structure and retail/institutional mix.
• Fisher Investments: Large private wealth management RIA serving high net worth and institutional clients; comparable to Jocelyn's wealth management arm at a much larger scale.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat4 records

Key risks5 records

Key highlights5 records

Customer concentration

Revenue estimate

Valuation estimate

Number of profiles

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Jocelyn Investment Management