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SHEPHERD KAPLAN KROCHUK, LLC
CRD 127304File 801-62286
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Mar 31, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$10.88B
Top 10% of cohort (national)
Discretionary AUM
$2.06B
Non-discretionary $8.83B
Clients
213
1,405 accounts
Employees
34
Top 25% of cohort in MA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Aug 20, 2003
- Principal office
- 53 STATE STREET, 23RD FLOOR, BOSTON, MA, 02109-2820
- Phone
- 617-896-1600
- Website
- HTTP://WWW.SK-LLC.COM/
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $10.88B
- Discretionary AUM
- $2.06B
- Non-discretionary AUM
- $8.83B
- Discretionary accounts
- 131
- Non-discretionary accounts
- 1,274
- Total accounts
- 1,405
- AUM per client
- $51.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 68 | $546.2M |
| Charitable organizations | 22 | $183.5M |
| High net worth individuals | 83 | $1.57B |
| Pooled investment vehicles | 16 | $1.19B |
| Pension and profit sharing plans | 18 | $7.39B |
| Individuals (other than high net worth individuals) | 6 | $1.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11- Q11D4
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 40 | 34 | decreased by6 |
| Apr 1, 2026 | Clients | 197 | 213 | increased by16 |
| Apr 1, 2026 | AUM | $9,736,764,899 | $10,884,215,665 | increased by$1,147,450,766 |
| Apr 1, 2026 | Accounts | 1,365 | 1,405 | increased by40 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 48 | 40 | decreased by8 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 149 | 197 | increased by48 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $8,849,112,173 | $9,736,764,899 | increased by$887,652,726 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,074 | 1,365 | increased by291 |
| Apr 1, 2022 | Clients | 138 | 149 | increased by11 |
| Apr 1, 2022 | AUM | $7,751,272,639 | $8,849,112,173 | increased by$1,097,839,534 |
| Apr 1, 2022 | Accounts | 1,082 | 1,074 | decreased by8 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SHEPHERD KAPLAN” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SHEPHERD KAPLAN” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.