SHEPHERD KAPLAN LLC
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SHEPHERD KAPLAN LLC
(CRD# 128244)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Boston, MA.
The SEC approved the firm to operate as an RIA in
Oct 2003.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$5.9 Billion,
with discretion over
13%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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SHEPHERD KAPLAN LLC
also reported in
Mar 2019
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39
employees,
with
18
performing advisory functions.
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A total of 2 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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SHEPHERD KAPLAN LLC has no disclosure events reported to the SEC at this time.
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SHEPHERD KAPLAN LLC has Notice Filings with the following State Securities Authorities:
CA-Jul 2007, FL-Jan 2008, MA-Oct 2003, MD-Mar 2009, NJ-Aug 20
, NY-Apr 2005, PA-Jul 2007, TX-Mar 2009, VA-Mar 2009
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