SourcingSourcing

THE KOCEN FINANCIAL GROUP, INC.

A76
CRD 112129·SEC 801-64553·RANCHO MIRAGE, CA
AUM
$185.9M
$100M-$500M
Est. Revenue
$1.9M
@ 1% on AUM
Est. EBITDA
$558K
@ 30% margin
Est. Deal Value
$4.5M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
THE KOCEN FINANCIAL GROUP, INC.
CRD
112129
SEC file #
801-64553
EIN
—
DBA names
—

Economics

AUM
$185.9M
AUM band
$100M-$500M
AUM trajectory
'20'26
$193.4M → $185.9M▼ -4%
Client mix
Individuals Other129
Individuals High Net Worth84
Pension Profit Sharing Plans9

Operations

Employees (total)
5
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'20'26
7 advisors → 5 advisors▼ -29%
Primary office
RANCHO MIRAGE CA
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisers
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
kfginc.com

Compliance

Disclosures (firm)
2
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
THE KOCEN LIVING TRUST, U/A DATED
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
3
Control Persons
THE KOCEN LIVING TRUST, U/A DATED
KOCEN, BRYAN, STUART
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
KFGINC.COM
Rdap Domain Creation Date
1999-12-01T22:03:24Z
Rdap Firm Age Years
27
Rdap Firm Age Band
20+y
Rdap Registrar
Register.com - Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
1
Form 5500 Total Participants
5
Form 5500 Compensation Trajectory 3y
20240
Form 5500 Plan Count Trajectory 3y
20241
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.4585
Soi Zip Pct 200k Plus
0.2303
Soi Zip Returns 200k Plus
2110
Soi Zip Total AGI
1,728,822
Fdic Zip Total Deposits
18,366,112,000
Fdic Zip Branch Count
232
Fdic Zip Top Banks
Wells Fargo Bank, National Association
Bank of America, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (23)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
5
Bc Firm IAR Count
5
Custodian Candidates
Full
Charles Schwab6
E*trade4
Fdic Zip Branches Raw
First Interstate Bank of CaliforniaRancho Mirage, CA
The Bank of California, National AssociationRancho Mirage, CA
Fdic Zip HHI
1394.45
Fdic Zip Top Bank Share Pct
24.89
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-12-01T22:03:24Z
Rdap Domain Last Changed
2024-10-02T19:43:03Z
Rdap Nameservers
Dns101.register.comDns102.register.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI20,780
Returns1,800
Stub 2
AGI47,102
Returns1,280
Stub 3
AGI66,110
Returns1,060
Soi Zip Total Business Income
65,499
Soi Zip Total Cap Gains
310,999
Soi Zip Total Dividends
89,631
Soi Zip Total Returns
9,160
Trust Company Affiliate
No

People (5)

5
Tsikman, David
IAR · Executive Officer · 2.5%
7419643
KOCEN, BRYAN, STUART
IAR · Executive Officer · 2.5%
2119036
PENNY JACQUELINE HOUSEMAN
IAR
5760422
JOHN BARTHOLOMEW WILLS
IAR
6321945
JOEL EVAN KOCEN
IAR
1306954