THE KOCEN FINANCIAL GROUP, INC.

RIASEC RegisteredEst. 2005

Total AUM

$186M

Discretionary

$186M

100% of AUM

Avg account

$240K

Accounts

773

Employees

Advisory reps

Firm details

Headquarters: RANCHO MIRAGE, California
CRD number: 112129
Registered since: July 21, 2005
Website: www.kfginc.com
Custodians: CHARLES SCHWAB & CO., INC., SEI INVESTMENTS DISTRIBUTION CO.
Fee structure: Percentage of AUM, Fixed Fees
Client types: HNWI77.78%
Individuals15.93%
Pension & Profit Sharing Plans6.12%
Corporations / Businesses0.16%
Services: Financial PlanningPortfolio Management for IndividualsSelection of Other Advisers

Firm profile

FINTRX

Overview

The Kocen Financial Group, Inc. is an independent registered investment adviser that acts as a capital allocator for both individual/family and institutional clients. The firm’s advisory work centers on financial planning, portfolio management for individuals and small businesses, and the selection of third‑party managers. Fee arrangements include both percentage‑of‑AUM and fixed‑fee engagements. In practice the firm leans on pooled public funds and separately managed account (SMA) solutions for core equity and fixed‑income exposure, while also allocating to outside alternative managers for diversification and return enhancement. It does not position itself as an ESG‑focused manager, and its business model emphasizes manager selection and outsourced strategies rather than in‑house proprietary funds.