Shepherd Kaplan LLC (Boston)

Name: Shepherd Kaplan LLC
Address: 125 Summer Street, Boston, MA, 02110 1654
Telephone: 617-896-1600

Shepherd Kaplan LLC is a large advisory firm based in Boston. It manages $5.88 billion of regulatory assets for 1,360 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of California, Florida, Maryland, and 5 other states.

Shepherd Kaplan provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, and selection of other advisers. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Shepherd Kaplan: assets under management

The assets under management (AUM) of Shepherd Kaplan LLC is $5.88 billion. The firm's AUM has grown by 577% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $763.59 million in discretionary accounts and $5.11 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $4.47 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $4.3 million.

Shepherd Kaplan has custody of $498.29 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 74% of the total AUM. The second-largest asset type is exchange traded securities, which make up 11% of the firm’s portfolio. Investments in cash and cash equivalents form 6% of the total invested assets.

Careers at Shepherd Kaplan LLC

The company employs 39 people that are either part- or full-time employees. 46 percent of the employees work as investment advisers or researchers. 15 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Wallace Martin Mathai Davis has been acting as President since 1 Jan 2011. Llc Grt Capital Partners joined the executive team most recently as the Managing Member.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Mario Depalo	Cfo	1 Jul 2003	Other	4625457
David Charles Kaplan	Managing member , chief operating officer	1 Aug 2003	25% - 50%	2307318
David Morris Shepherd	Managing member	1 Aug 2003	25% - 50%	2284051
Marcus Christopher Hunter	President, coo, cco	1 Jul 2005	Other	5031797
Shawn Charles Samperi	Member	1 Jun 2007	Other	1880062
Bruce Goodman	Chief compliance officer, general counsel	1 Jun 2008	Other	5548791
Michael Anthony Vien	Chief operating officer, general manager	1 Jun 2008	Other	2389916
Wallace Martin Mathai Davis	Chairman	1 Jan 2011	Other	1880237
Peter John Dilorenzo	Chief of staff, member, non-voting shares	1 Jan 2016	Other	6842439
Sebastian Granzo	Chief compliance officer	1 Mar 2017	Other	6775816
Llc Grt Capital Partners	Managing member	1 Nov 2017	75% - 100%	127304
Llc Shepherd Kaplan Krochuk	Managing member	1 Nov 2017	75% - 100%	127304
Jonathan Thomas Perry	Chief financial officer	1 Nov 2017	Other	6927112

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
David Charles Kaplan	Managing member	1 Nov 2017	25% - 50%	2307318
David Morris Shepherd	Managing member	1 Nov 2017	25% - 50%	2284051
Timothy Adam Krochuk	Managing member	1 Nov 2017	25% - 50%	4687553

Based in Boston

The principal office where Shepherd Kaplan LLC performs its advisory services is located at 125 Summer Street, Boston, MA 02110 1654, which is also the mailing address of the firm. An additional office of the firm is in San Antonio, TX. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 617-896-1600 or by fax 617-896-1650. The normal business hours are 8:30am to 5:30pm on Monday - Friday. You can find more information about the New York firm at sk-llc.com and its LinkedIn profile.