The Kocen Financial Group provides financial planning, portfolio management for individuals and small businesses, and selecting other managers. Financial planning was provided to 51–100 clients last fiscal year.
The Kocen Financial Group reports 222 clients. They include 129 individual clients, 84 high-net-worth individuals, and 9 pension and profit-sharing plans. Of its assets, 100.0% ($186M across 773 accounts) are managed with discretion. Of its clients, 2% are outside the U.S. It advised 2 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 58% | 16% |
| High-net-worth individuals | 38% | 78% |
| Pension and profit-sharing plans | 4% | 6% |
| Corporations and other businesses | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 129 | $29.6M | 15.9% | $230K |
| High-net-worth individuals | 84 | $145M | 77.8% | $1.72M |
| Pension and profit-sharing plans | 9 | $11.4M | 6.1% | $1.26M |
| Corporations and other businesses | Fewer than 5 | $303K | 0.2% | — |
| Total | 222 | $186M | 100% | — |
- Clients
- 129
- Regulatory AUM
- $29.6M
- AUM share
- 15.9%
- Avg. per client
- $230K
- Clients
- 84
- Regulatory AUM
- $145M
- AUM share
- 77.8%
- Avg. per client
- $1.72M
- Clients
- 9
- Regulatory AUM
- $11.4M
- AUM share
- 6.1%
- Avg. per client
- $1.26M
- Clients
- Fewer than 5
- Regulatory AUM
- $303K
- AUM share
- 0.2%
- Avg. per client
- —
Total
- Clients
- 222
- Regulatory AUM
- $186M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 2%
- Clients advised without assets under management last fiscal year
- 2
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 51–100
The Kocen Financial Group is paid through a percentage of assets under management and fixed fees (other than subscription fees). The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial Planning
- Financial plans are charged at a negotiated flat rate, generally ranging from $3,000 to $5,000 for the first year plan.
The Kocen Living Trust, U/A Dated December 18, 2018 owns 75% or more of The Kocen Financial Group. The leadership team of The Kocen Financial Group includes President Bryan Kocen and Chief Compliance Officer David Tsikman. It has 5 employees.
Leadership
Bryan KocenPresident- David TsikmanChief Compliance Officer
Investment adviser representatives
5 representatives listed in the SEC register as of 9 October 2026.
Staff
- 5 employees
- 5 in advisory functions
- 5 state-registered reps
- 1 soliciting firm
- Owns 75% or more of The Kocen Financial Group, Inc.
The Kocen Living Trust, U/A Dated December 18, 2018
Control person · since December 2018
Bryan Kocen
Trustee · Control person · since December 2018
The Kocen Financial Group’s regulatory assets fell from $280M (March 2021) to $186M (March 2026); clients fell from 421 to 222 and employees from 8 to 5.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $186M | 222 | 5 | 1 |
| March 2025 | $163M | 221 | 5 | 1 |
| July 2024 | $140M | 225 | 5 | 1 |
| March 2023 | $123M | 220 | 8 | 1 |
| April 2022 | $141M | 222 | 7 | 2 |
| March 2021 | $280M | 421 | 8 | 2 |
Besides its headquarters, The Kocen Financial Group has 0 offices, with 1 listed address in California.
California · 1 listed address
- 35900 Bob Hope DR., Suite 202, Rancho MirageHQ
Contact and registration details
- Legal name
- The Kocen Financial Group, Inc.
- Headquarters
- 35900 Bob Hope DR., Suite 202, Rancho Mirage, CA 92270-1767
- Website
- kfginc.com
- Phone
- 760-324-4015
- SEC file
- 801-64553
- Structure
- California corporation
- Fiscal year end
- December
The Kocen Financial Group uses Charles Schwab ($90.4M, 51%) and SEI Private Trust ($88.4M, 49%) as custodians for its separately managed accounts. The Kocen Financial Group does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Omaha, NE · $90.4M51%
- SEI Private TrustSEI Private Trust Company · Oaks, PA · $88.4M49%
At year end, The Kocen Financial Group’s separately managed accounts were mostly in funds (54%) and stocks (38%).
What the accounts hold
- Stocks38%
- Exchange-traded equities32%
- Non-exchange-traded equities6%
- Funds54%
- Bonds5%
- Investment grade corporate bonds3%
- U.S. government and agency bonds1%
- State and local bonds1%
- Cash3%
How many clients does The Kocen Financial Group have?
The Kocen Financial Group has 222 clients and manages $186 million for them, as of March 2026. They include 129 individual clients, 84 high-net-worth individuals, and 9 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026
What services does The Kocen Financial Group offer?
The Kocen Financial Group provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does The Kocen Financial Group use?
The Kocen Financial Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (Omaha, NE), with $90.4M and SEI Private Trust Company (Oaks, PA), with $88.4M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026
How many financial advisors does The Kocen Financial Group have?
The Kocen Financial Group has 5 investment adviser representatives registered with state securities authorities, out of 5 employees, and 5 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does The Kocen Financial Group invest in?
At the end of its last fiscal year, The Kocen Financial Group’s separately managed accounts held 54% registered funds (mutual funds, ETFs, BDCs), 32% exchange-traded equities, 6% non-exchange-traded equities, 3% investment grade corporate bonds, 3% cash and equivalents, 1% U.S. government and agency bonds and 1% state and local bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns The Kocen Financial Group?
The Kocen Financial Group’s direct owner is the Kocen Living Trust, U/A Dated December 18, 2018 (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 31 March 2026
How does The Kocen Financial Group get paid?
The Kocen Financial Group is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact The Kocen Financial Group?
The Kocen Financial Group’s main office is at 35900 Bob Hope DR., Suite 202, Rancho Mirage, CA 92270-1767. Its phone number is 760-324-4015. Its website is kfginc.com.