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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 Aug 17, 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
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 |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
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.