SHEPHERD KAPLAN LLC
Adviser information for SHEPHERD KAPLAN 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 | 43 |
|---|---|
| Investment Advisory/Research | 23 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 18 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 135 | $756.1M |
| Non-Discretionary | 1,195 | $7.9B |
| Total | 1,330 | $8.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $8.6B |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | A % OF REVENUE COLLECTED FOR SUB-ADVISORY SERVICES |
Identifiers
| SEC RIA File Number | 801-62349 |
|---|---|
| SEC ERA File Number | 801-62349 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 128244 |
| Legal Entity Identifier | None |
Principal Office
53 STATE STREET23RD FLOOR
BOSTON
MA
United States
Monday - Friday, 8:30AM TO 5:30PM
Tel: 617-896-1600, Fax: 617-896-1650
Chief Compliance Officer
BAYARD DODGE
53 STATE STREET
23RD FLOOR
BOSTON
MA
United States
Tel:
617-896-1628
B*****@*********M
(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
P******@**********M
(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 KROCHUK, LLC | Other investment adviser, including financial planners |
| 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 |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KAPLAN, DAVID, CHARLES | Individual | – | CO-CEO | 08/2003 | < 5% |
| SHEPHERD, DAVID, MORRIS | Individual | – | CO-CEO | 08/2003 | < 5% |
| DILORENZO, PETER, JOHN | Individual | – | CHIEF OPERATING OFFICER, MEMBER, NON-VOTING SHARES | 01/2016 | < 5% |
| SHEPHERD KAPLAN KROCHUK, LLC | Domestic Entity | – | MANAGING MEMBER | 11/2017 | > 75% |
| SHEPHERD, DAVID, MORRIS | Individual | FROG HOLDINGS, INC. | PRESIDENT | 01/2020 | > 75% |
| FROG HOLDINGS, INC. | Domestic Entity | SHEPHERD KAPLAN KROCHUK, LLC | MEMBER | 01/2020 | 25-50% |
| DODGE, BAYARD, NMN | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2023 | < 5% |