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RIA / WealthAdvisor28 years in industry

DAVID CHARLES KAPLAN

Advisor at SHEPHERD KAPLAN KROCHUK, LLC

BOSTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4cb19ff6-9544-c982-0b72-269752317db9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 2
Observed: Dec 15, 1997 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

David Charles Kaplan

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Venture Capitalidentity

David Charles Kaplan

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SHEPHERD KAPLAN KROCHUK, LLC
Current firm class: other adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 15, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Current registrations: 2
Registered states: 2
Exams: S63|S65
First exam: Dec 15, 1997
Dual registered: no
IAPD individual key: 2307318

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SHEPHERD KAPLAN KROCHUK, LLC	Other adviser	Dec 22, 2017	n/a	yes	BOSTON, MA	Current employment
SHEPHERD KAPLAN LLC	Asset manager	Nov 5, 2007	n/a	yes	BOSTON, MA	Current employment

Relationships

Registered with (2)

→ SHEPHERD KAPLAN KROCHUK, LLCRegistered adviserregistration: current employment
Dec 22, 2017 to presentfactForm ADV
→ SHEPHERD KAPLAN LLCRegistered adviserregistration: current employment
Nov 5, 2007 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4cb19ff6-9544-c982-0b72-269752317db9
First observed: Dec 15, 1997
Last observed: Sep 14, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

DAVID CHARLES KAPLAN

Advisor at SHEPHERD KAPLAN KROCHUK, LLC

BOSTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4cb19ff6-9544-c982-0b72-269752317db9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:29 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

SHEPHERD KAPLAN KROCHUK, LLC

Other adviser

Dec 22, 2017

n/a

yes

BOSTON, MA

Current employment

SHEPHERD KAPLAN LLC

Asset manager

Nov 5, 2007

n/a

yes

BOSTON, MA

Current employment