Hedge Fund Database

SHEPHERD KAPLAN KROCHUK, LLC

Adviser information for SHEPHERD KAPLAN KROCHUK, LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 38
Investment Advisory/Research 17
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 10
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 135 $1.4B
Non-Discretionary 1,195 $7.5B
Total 1,330 $8.9B

Clients

Type Number RAUM
Individuals 11 $4.0M
HNW Individuals 73 $1.3B
Banking or thrift institutions 0 $0
Investment companies 1 $86.4M
Business development companies 0 $0
Pooled investment vehicles 13 $518.3M
Pension and profit sharing plans 19 $6.3B
Charitable organizations 23 $189.3M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 44 $447.3M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)
Compensation % of AUMPerformance-based fees
Other Business Activities Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number 801-62286
SEC ERA File Number 801-62286
SEC CIK Numbers 1218583
SEC CRD Numbers 127304
Legal Entity Identifier None

Principal Office

53 STATE STREET
23RD FLOOR
BOSTON
MA
United States
Monday - Friday, 9 A.M. TO 5 P.M.
Tel: 617-896-1600, Fax: 617-896-1650

Websites

www.linkedin.com/in/shepherd-kaplan-1a9615a7/ www.skk-llc.com/ www.sk-llc.com/ www.linkedin.com/company/shepherd-kaplan-krochuk/

Chief Compliance Officer

BAYARD DODGE
53 STATE STREET
23RD FLOOR
BOSTON
MA
United States
Tel: 617-896-1628
Fax: 617-896-1650
(Full email address available in API data)

Regulatory Contact

PAUL GEHRKE
DEPUTY GENERAL COUNSEL
53 STATE STREET
23RD FLOOR
BOSTON
MA
United States
Tel: 617-226-1742
Fax: 617-896-1650
(Full email address available in API data)

Industry Affiliates

KAIROS SKK ENVIROKURE GP, LLC Sponsor, GP, manager of pooled investment vehicles
PCF CAPITAL MARKETS LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
PEAK CAPITAL MANAGEMENT, LLC Other investment adviser, including financial plannersSponsor or syndicator of limited partnerships
SHEPHERD KAPLAN LLC Other investment adviser, including financial plannersPension consultant
SKK 9I VENTURES MANAGER, LLC Sponsor, GP, manager of pooled investment vehicles
SKK 9I VENTURES QP MANAGER, LLC Sponsor, GP, manager of pooled investment vehicles
SKK GROUP, LLC Sponsor, GP, manager of pooled investment vehicles
SKK INDUSTRIAL GP, LLC Sponsor, GP, manager of pooled investment vehicles
SKK OPPORTUNITY ZONE FUND II GP, LLC Sponsor, GP, manager of pooled investment vehicles
SKK OPPORTUNITY ZONE MANAGER I, LLC Sponsor, GP, manager of pooled investment vehicles
SKK PROVIDENT INVESTORS GP, LLC Sponsor, GP, manager of pooled investment vehicles
SKK REAL ESTATE GP II, LLC Sponsor, GP, manager of pooled investment vehicles
SKK VENTURES MANAGER, LLC Sponsor, GP, manager of pooled investment vehicles
SKK VENTURES QP MANAGER, LLC Sponsor, GP, manager of pooled investment vehicles
SKK-FHR GP, LLC Sponsor, GP, manager of pooled investment vehicles
SKK-GLOBAL PARTNERS PROPERTY FUND I GP, LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
KAIROS SKK ENVIROKURE INVESTORS, LP Private Equity Fund $32.5M $0.3M 97
SKK 9I VENTURES QP, LLC SERIES AT0 Venture Capital Fund $11.0M $0.3M 37
SKK 9I VENTURES QP, LLC SERIES AT1 Venture Capital Fund $2.9M $0.3M 34
SKK 9I VENTURES QP, LLC SERIES ET-S Venture Capital Fund $1.4M $0.3M 2
SKK 9I VENTURES QP, LLC SERIES ET0 Venture Capital Fund $7.0M $0.3M 44
SKK 9I VENTURES QP, LLC SERIES ET1 Venture Capital Fund $4.4M $0.3M 29
SKK 9I VENTURES QP, LLC SERIES QM0 Venture Capital Fund $3.2M $0.3M 15
SKK 9I VENTURES QP, LLC SERIES TR0 Venture Capital Fund $8.8M $0.3M 67
SKK 9I VENTURES QP, LLC SERIES TR1 Venture Capital Fund $6.5M $0.3M 57
SKK 9I VENTURES QP, LLC SERIES TR2 Venture Capital Fund $0.0M $0.3M 0
SKK 9I VENTURES, LLC SERIES AT0 Venture Capital Fund $0.9M $0.3M 23
SKK 9I VENTURES, LLC SERIES AT1 Venture Capital Fund $0.4M $0.3M 17
SKK 9I VENTURES, LLC SERIES ET0 Venture Capital Fund $0.3M $0.3M 9
SKK 9I VENTURES, LLC SERIES ET1 Venture Capital Fund $0.3M $0.3M 9
SKK 9I VENTURES, LLC SERIES QM0 Venture Capital Fund $0.0M $0.3M 1
SKK 9I VENTURES, LLC SERIES TR0 Venture Capital Fund $1.6M $0.3M 38
SKK 9I VENTURES, LLC SERIES TR1 Venture Capital Fund $0.7M $0.3M 34
SKK 9I VENTURES, LLC SERIES TR2 Venture Capital Fund $0.0M $0.3M 0
SKK CAYO LARGO DEVELOPMENT, LP Real Estate Fund $4.2M $0.3M 47
SKK OPPORTUNITY ZONE FUND I, LLC Real Estate Fund $46.5M $0.5M 58
SKK OPPORTUNITY ZONE FUND II, LP Real Estate Fund $55.2M $0.3M 47
SKK PROVIDENT INVESTORS, LP Private Equity Fund $32.7M $1.0M 69
SKK RE VENTURES FUND II PFD, LP Real Estate Fund $25.7M $0.1M 28
SKK RE VENTURES FUND II, LP Real Estate Fund $40.6M $0.5M 84
SKK VENTURES QP, LLC SERIES BD-S Venture Capital Fund $1.4M $0.3M 2
SKK VENTURES QP, LLC SERIES BD0 Venture Capital Fund $21.7M $0.3M 72
SKK VENTURES QP, LLC SERIES BD1 Venture Capital Fund $14.3M $0.3M 71
SKK VENTURES QP, LLC SERIES BD2 Venture Capital Fund $35.3M $0.3M 242
SKK VENTURES QP, LLC SERIES CT0 Venture Capital Fund $28.5M $0.3M 163
SKK VENTURES QP, LLC SERIES CT1 Venture Capital Fund $0.0M $0.3M 0
SKK VENTURES QP, LLC SERIES WG4 Venture Capital Fund $3.5M $0.3M 18
SKK VENTURES QP, LLC SERIES WG5 Venture Capital Fund $15.7M $0.3M 101
SKK VENTURES QP, LLC SERIES WG6 Venture Capital Fund $1.4M $0.3M 17
SKK VENTURES, LLC SERIES BD0 Venture Capital Fund $18.2M $0.1M 55
SKK VENTURES, LLC SERIES BD1 Venture Capital Fund $0.7M $0.1M 4
SKK VENTURES, LLC SERIES BD2 Venture Capital Fund $1.9M $0.1M 29
SKK VENTURES, LLC SERIES CT0 Venture Capital Fund $9.5M $0.1M 44
SKK VENTURES, LLC SERIES CT1 Venture Capital Fund $0.0M $0.1M 0
SKK VENTURES, LLC SERIES EG0 Venture Capital Fund $1.0M $0.1M 9
SKK VENTURES, LLC SERIES EG1 Venture Capital Fund $4.1M $0.1M 1
SKK VENTURES, LLC SERIES EG2 Venture Capital Fund $2.6M $0.1M 24
SKK VENTURES, LLC SERIES WG0 Venture Capital Fund $2.1M $0.1M 19
SKK VENTURES, LLC SERIES WG1 Venture Capital Fund $2.1M $0.1M 14
SKK VENTURES, LLC SERIES WG3 Venture Capital Fund $1.5M $0.1M 22
SKK VENTURES, LLC SERIES WG4 Venture Capital Fund $2.0M $0.1M 14
SKK VENTURES, LLC SERIES WG5 Venture Capital Fund $2.9M $0.1M 16
SKK VENTURES, LLC SERIES WG6 Venture Capital Fund $0.2M $0.1M 2
SKK-FHR INDUSTRIAL FUND I, LP Real Estate Fund $27.9M $1.0M 21
SKK-GLOBAL PARTNERS PROPERTY FUND I, LP Real Estate Fund $28.3M $0.5M 30

Control Persons

Name Type Entity Title Since Ownership
KROCHUK, TIMOTHY, ADAM Individual – MANAGEMENT BOARD 06/2001 10-25%
KAPLAN, DAVID, CHARLES Individual – MANAGEMENT BOARD 11/2017 10-25%
SHEPHERD, DAVID, MORRIS Individual – MANAGEMENT BOARD 11/2017 25-50%
DILORENZO, PETER, JOHN Individual – CHIEF OPERATING OFFICER; CHIEF INFORMATION SECURITY OFFICER 01/2016 < 5%
BRACKETT, STEPHEN, MICHAEL Individual – MANAGEMENT BOARD, PRESIDENT 08/2019 10-25%
LOCKHART, BRIAN, DAVID Individual – MANAGEMENT BOARD 02/2020 10-25%
KAPLAN, DAVID, CHARLES Individual GEMINI HOLDINGS, INC. PRESIDENT 01/2020 > 75%
SHEPHERD, DAVID, MORRIS Individual FROG HOLDINGS, INC. PRESIDENT 01/2020 > 75%
KROCHUK, TIMOTHY, ADAM Individual IAFT HOLDINGS, INC. PRESIDENT 01/2020 > 75%
BRACKETT, STEPHEN, MICHAEL Individual BRACKETT HOLDINGS, INC. PRESIDENT 01/2020 > 75%
LOCKHART, BRIAN, DAVID Individual VENTURE CAPITAL CONSULTING LLC MEMBER 02/2020 > 75%
FROG HOLDINGS, INC. Domestic Entity – MEMBER 01/2020 25-50%
GEMINI HOLDINGS, INC. Domestic Entity – MEMBER 01/2020 10-25%
IAFT HOLDINGS, INC. Domestic Entity – MEMBER 01/2020 10-25%
BRACKETT HOLDINGS, INC. Domestic Entity – MEMBER 01/2020 10-25%
VENTURE CAPITAL CONSULTING LLC Domestic Entity – MEMBER 02/2020 10-25%
DODGE, BAYARD, NMN Individual – CHIEF COMPLIANCE OFFICER 03/2023 < 5%

No. Employees, Historic

50250201920202021202220232024202537 on 8/22/201937 on 11/8/201937 on 1/23/202048 on 3/30/202048 on 6/26/202048 on 9/30/202048 on 3/31/202148 on 9/22/202148 on 1/3/202248 on 3/30/202248 on 7/12/202239 on 3/31/202339 on 5/4/202338 on 3/28/2024

RAUM, Historic

9B5B020192020202120222023202420256077343541 on 8/22/20196077343541 on 11/8/20196077343541 on 1/23/20206765211514 on 3/30/20206765211514 on 6/26/20206765211514 on 9/30/20207751272639 on 3/31/20217751272639 on 9/22/20217751272639 on 1/3/20228849112173 on 3/30/20228849112173 on 7/12/20227940705233 on 3/31/20237940705233 on 5/4/20238905692748 on 3/28/2024

No. Clients, Historic

20010002019202020212022202320242025114 on 8/22/2019114 on 11/8/2019114 on 1/23/2020114 on 3/30/2020114 on 6/26/2020114 on 9/30/2020138 on 3/31/2021138 on 9/22/2021138 on 1/3/2022149 on 3/30/2022149 on 7/12/2022168 on 3/31/2023168 on 5/4/2023184 on 3/28/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ALPS ETF TR ALERIAN MLP 3M 62K –
APPLE INC COM 10M 48K –
AT&T INC COM 269K 14K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 4M 9K –
BIOVIE INC CL A NEW 12K 29K –
BLACKSTONE INC COM 1M 11K –
CAMPBELL SOUP CO COM 7M 153K –
DBX ETF TR XTRACK MSCI EAFE 3M 107K –
DIREXION SHS ETF TR DLY S&P500 BR 1X 2M 197K –
DUKE ENERGY CORP NEW COM NEW 1M 10K –
ENERGY TRANSFER L P COM UT LTD PTN 4M 253K –
ENTERPRISE PRODS PARTNERS L COM 653K 23K –
GENERAL DYNAMICS CORP COM 1M 5K –
GOLDMAN SACHS ETF TR ACTIVEBETA INT 970K 29K –
GSK PLC SPONSORED ADR 1M 32K –
INTERNATIONAL BUSINESS MACHS COM 323K 2K –
INVESCO EXCH TRADED FD TR II PFD ETF 2M 166K –
ISHARES BITCOIN TR SHS 448K 13K –
ISHARES TR MSCI USA MIN VOL 8M 91K –
ISHARES TR MSCI ACWI ETF 3M 27K –
ISHARES TR CORE S&P500 ETF 826K 2K –
ISHARES TR SHORT TREAS BD 4M 35K –
ISHARES TR CORE S&P SCP ETF 3M 32K –
ISHARES TR MSCI USA MMENTM 4M 23K –
ISHARES TR 0-3 MNTH TREASRY 2M 17K –
ISHARES TR S&P 500 GRWT ETF 734K 8K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 5M 83K –
J P MORGAN EXCHANGE TRADED F DIV RTN EM EQT 1M 23K –
J P MORGAN EXCHANGE TRADED F US QUALTY FCTR 6M 108K –
JANUS DETROIT STR TR HENDERSON MTG 3M 70K –
KINDER MORGAN INC DEL COM 2M 78K –
MEDTRONIC PLC SHS 958K 12K –
MERCK & CO INC COM 1M 8K –
NETFLIX INC COM 1M 2K –
NEWMONT CORP COM 461K 11K –
NUVEEN MUN VALUE FD INC COM 530K 61K –
PFIZER INC COM 883K 32K –
PIMCO ETF TR 25YR+ ZERO U S 2M 27K –
PIMCO ETF TR INV GRD CRP BD 3M 36K –
PROSHARES TR SHRT 20+YR TRE 682K 29K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 4M 50K –
SCHWAB STRATEGIC TR US LCAP VA ETF 6M 85K –
SPDR GOLD TR GOLD SHS 213K 992 –
SPDR SER TR S&P BIOTECH 720K 8K –
SYNTAX ETF TR STRATIFIED US TT 703K 17K –
SYNTAX ETF TR STRATIFIED US TT 690K 15K –
SYNTAX ETF TR STRATIFD LRG CAP 1M 18K –
VANECK ETF TRUST GOLD MINERS ETF 824K 24K –
VANECK ETF TRUST FALLEN ANGEL HG 7M 244K –
VANGUARD ADMIRAL FDS INC SMLLCP 600 IDX 1M 11K –
VANGUARD INDEX FDS MID CAP ETF 2M 8K –
VANGUARD INDEX FDS REAL ESTATE ETF 2M 26K –
VANGUARD INDEX FDS S&P 500 ETF SHS 583K 1K –
VANGUARD INDEX FDS GROWTH ETF 1M 3K –
VANGUARD INDEX FDS TOTAL STK MKT 2M 6K –
VANGUARD MUN BD FDS TAX EXEMPT BD 788K 16K –
VISA INC COM CL A 219K 836 –