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SHEPHERD KAPLAN LLC
CRD 128244File 801-62349
APPROVED
Custody
Filing as of Mar 31, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$10.16B
Top 10% of cohort (national)
Discretionary AUM
$862.2M
Non-discretionary $9.29B
Clients
0
1,389 accounts
Employees
42
Top 25% of cohort in MA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Oct 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
- $10.16B
- Discretionary AUM
- $862.2M
- Non-discretionary AUM
- $9.29B
- Discretionary accounts
- 115
- Non-discretionary accounts
- 1,274
- Total accounts
- 1,389
- AUM per client
- —
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other investment advisers | Fewer than 5 | $10.16B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Other (described) — A % OF REVENUE COLLECTED FOR SUB-ADVISORY SERVICES
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 46 | 42 | decreased by4 |
| Apr 1, 2026 | AUM | $9,398,575,271 | $10,157,050,719 | increased by$758,475,448 |
| Apr 1, 2026 | Accounts | 1,351 | 1,389 | increased by38 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 44 | 46 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $8,511,576,009 | $9,398,575,271 | increased by$886,999,262 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,055 | 1,351 | increased by296 |
| Apr 1, 2022 | Employees | 43 | 44 | increased by1 |
| Apr 1, 2022 | AUM | $7,408,215,042 | $8,511,576,009 | increased by$1,103,360,967 |
| Apr 1, 2022 | Accounts | 1,067 | 1,055 | decreased by12 |
| 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.