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SHEPHERD KAPLAN KROCHUK, LLC
SHEPHERD KAPLAN KROCHUK, LLC (CRD# 127304) is an SEC-Registered Investment Advisor (RIA), headquartered in Boston, MA. The SEC approved the firm to operate as an RIA in Aug 2003. In Mar 2019, the firm reported total Regulatory Assets Under Management (RAUM) of $6.1 Billion, with discretion over 16% of those assets.   Pooled investment vehicles (Private Funds) account for 3% of RAUM.   Non-US investors represent 0% .  
 
SHEPHERD KAPLAN KROCHUK, LLC also reported in Mar 2019
  • 37 employees, with 14 performing advisory functions.
  • A total of 2 office locations.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
SHEPHERD KAPLAN KROCHUK, LLC has no disclosure events reported to the SEC at this time.
 

View SHEPHERD KAPLAN KROCHUK, LLC's most recent Form ADV filing
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SHEPHERD KAPLAN KROCHUK, LLC has Notice Filings with the following State Securities Authorities: CA-Nov 2017, FL-Nov 2017, MA-Aug 2003, MD-Nov 2017, NJ-Dec 2017 , NY-Nov 2017, PA-Nov 2017, TX-Nov 2017, VA-Nov 2017


Disclaimer: 
The information presented above was gleaned from the SEC website and is believed to be accurate.  FindingFraud.org is presenting this data for informational purposes only and assumes no responsibility for errors or omissions.  Please note that we are aware of many instances where RIAs provided erroneous data to the SEC.  Feel free to contact FindingFraud.org with questions or concerns.


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