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SHEPHERD KAPLAN LLC
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% .  
 
SHEPHERD KAPLAN LLC also reported in Mar 2019
  • 39 employees, with 18 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 LLC has no disclosure events reported to the SEC at this time.
 

View SHEPHERD KAPLAN LLC's most recent Form ADV filing
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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


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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