DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Shepherd Kaplan LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 28 filings
SEC status approved since Oct 20, 2003
RAUM
$10B
reported, Item 5.F
Discretionary
8.5%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
18
registered through the firm on IAPD
RAUM per advisor
$564M
derived; firm RAUM over IAPD count
Employees
42
24 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$10B as of Mar 31, 2026
Mar 30, 2012$7.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)19 as of Mar 31, 2026
Apr 1, 201320 then
Employees (5.A)42 as of Mar 31, 2026
Apr 1, 201345 then
Private funds: no history
RAUM +8.1% over the last fiscal year+10% a year over threeIARs 19 to 19
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $564MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $7.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 8.5%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 18.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $881M, 1 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$10B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,389reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $881M for 1 clientsreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Anthony Halloran | Boston, Ma | Jul 14, 2008 | 19 y | 0 |
| Christopher Matthew ColeCertified Financial Planner | Boston, Ma | Sep 21, 2010 | 19 y | 0 |
| Sean Robert Flaherty | Boston, Ma | Jul 19, 2012 | 14 y | 0 |
| Shawn Charles Samperi | Boston, Ma | Nov 14, 2013 | 37 y | 1 |
| Eric Andrew Collea | Boston, Ma | May 7, 2018 | 10 y | 0 |
| Michael Deforest Howard-Johnson | Boston, Ma | Jun 29, 2018 | 10 y | 1 |
| Richard William BlairChartered Financial Analyst | Boston, Ma | Dec 11, 2018 | 14 y | 0 |
| Kevin Michael Flannery | Boston, Ma | Jun 12, 2019 | 10 y | 0 |
| David Evan Perlin | Boston, Ma | Mar 12, 2020 | 19 y | 1 |
| Jennifer Marie Charobee | Oakland Park, Fl | Nov 9, 2020 | 12 y | 2 |
| Joseph A ArmistoCertified Financial Planner | Boston, Ma | Nov 17, 2020 | 14 y | 1 |
| Paul Joseph Roberts | Boston, Ma | Jul 21, 2021 | 25 y | 2 |
| John Joseph BoscoChartered Financial Analyst | Boston, Ma | Aug 31, 2021 | 11 y | 1 |
| John Henry Geringer | Boston, Ma | Jan 1, 2025 | 25 y | 1 |
| Madison Jane Desantis | Boston, Ma | May 7, 2025 | 13 y | 0 |
| Victoria Rubino | Boston, Ma | Jun 15, 2026 | 12 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 5.6% of current headcount1 left over 36 months
Left, latest
- Thomas Patrick Fallon to Osaic Wealth, Inc.Mar 17, 2026 · Other
- Eric Preston Scruggs to NdvrAug 27, 2020 · Other
- Christina G Verzino to J.P. Morgan Private Wealth Advisors LLCJul 9, 2019 · Other
- Whitney E Solcher to Ulrich Investment ConsultantsApr 2, 2019 · Other
- Albert John Otto to Verity Asset ManagementDec 31, 2017 · RIA to RIA
- Christopher Adam Shepherd to Spearhead Capital Advisors, LLCOct 31, 2017 · Other
- Julie Ar Shank to Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 19, 2017 · Other
- Maggie Webster Piccirillo to LPL Financial LLCOct 17, 2016 · Other
- Andrew G Bonetti to Cetera Investment Advisers LLCJul 26, 2016 · Other
- James M Lawless to Twin Focus Capital Partners, LLCMay 23, 2016 · Other
- Christopher Alan Cahill to Twelve Points Wealth ManagementApr 8, 2016 · Other
- Daniel Robert Zibinskas to Beaumont Financial Partners LLCOct 17, 2011 · Other
- Laurie Lynn Novak to Congress Wealth Management LLCMar 30, 2011 · Other
- Thomas J. Birrittella to Hillcrest Wealth Advisors - Ny, LLCMar 30, 2011 · Other
- Luther Charles Meythaler to Mmc Securities LLCJan 13, 2011 · Other
Joined, latest
- Victoria Rubino from J.P. Morgan Securities LLCJun 15, 2026 · Other
- John Henry Geringer from CedrusJan 1, 2025 · Other
- John Joseph Bosco from Lake Street AdvisorsAug 31, 2021 · Other
- Paul Joseph Roberts from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 21, 2021 · Other
- Joseph A Armisto from Goldman Sachs Wealth Services, L.P.Nov 17, 2020 · Other
- Jennifer Marie Charobee from One Charles Private WealthNov 9, 2020 · Other
- David Evan Perlin from Pearl Investment Partners, LLCMar 12, 2020 · Other
- Michael Deforest Howard-Johnson from J.P. Morgan Private Wealth Advisors LLCJun 29, 2018 · Other
- Eric Preston Scruggs from Acorn Financial Advisory Services, Inc.Jun 14, 2017 · Other
- Shawn Charles Samperi from Pricewaterhousecoopers Investment Advisers LLCNov 14, 2013 · Other
- Whitney E Solcher from Tpb Wealth Advisors, LLCJul 8, 2013 · Other
- Albert John Otto from Onefiduciary Group, LLCNov 2, 2010 · Other
- Christopher Alan Cahill from Osaic Fa, Inc.Jun 23, 2009 · Other
- Thomas J. Birrittella from Pricewaterhousecoopers Investment Advisers LLCJun 4, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- John Peter Dilorenzo · Chief Operating Officer, Member, Non-Voting Sharescontrolsince 01/2016 · owns less than 5%
- Nmn Bayard Dodge · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
- Charles David Kaplan · Co-Ceocontrolsince 08/2003 · owns less than 5%
- Morris David Shepherd · Co-Ceocontrolsince 08/2003 · owns less than 5%
- Morris David Shepherd · Presidentcontrolsince 01/2020 · owns 75% or more of Frog Holdings, Inc.
Entity owners
- Shepherd Kaplan Krochuk, LLC · Managing Memberdirect · owns 75% or more
- Frog Holdings, Inc. · Memberindirect · owns 25% to 50% of Shepherd Kaplan Krochuk, LLC
Related persons
Schedule D 7.A
- Kairos Skk Envirokure Gp, LLCpooled vehicle sponsorn
- Pcf Capital Markets LLCbroker-dealern
- Peak Capital Management, LLCinvestment advisernRAUM $165M
- Shepherd Kaplan Krochuk, LLCinvestment adviseryRAUM $11B
- Skk 9i Ventures Manager, LLCpooled vehicle sponsorn
- Skk 9i Ventures Qp Manager, LLCpooled vehicle sponsorn
- Skk Group, LLCpooled vehicle sponsorn
- Skk Industrial Gp, LLCpooled vehicle sponsorn
- Skk Opportunity Zone Fund II Gp, LLCpooled vehicle sponsorn
- Skk Opportunity Zone Manager I, LLCpooled vehicle sponsorn
- Skk Provident Investors Gp, LLCpooled vehicle sponsorn
- Skk Real Estate Gp II, LLCpooled vehicle sponsorn
- Skk Ventures Manager, LLCpooled vehicle sponsorn
- Skk Ventures Qp Manager, LLCpooled vehicle sponsorn
- Skk-Fhr Gp, LLCpooled vehicle sponsorn
- Skk-Global Partners Property Fund I Gp, LLCpooled vehicle sponsorn
Advisers that list Shepherd Kaplan LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 18 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,351 to 1,389Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $769M to $881MMar 31, 2025 to Mar 31, 2026
- Employees · 46 to 42Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $814M to $862MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $8.6B to $9.3BMar 31, 2025 to Mar 31, 2026
- RAUM · $9.4B to $10BMar 31, 2025 to Mar 31, 2026
- Accounts · 1,330 to 1,351Mar 28, 2024 to Mar 31, 2025
- Advisory employees · 23 to 24Mar 28, 2024 to Mar 31, 2025
- Assets in custody · $736M to $769MMar 28, 2024 to Mar 31, 2025
- Employees · 43 to 46Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Mar 28, 2024 to Mar 31, 2025
- State-registered IARs · 18 to 19Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $756M to $814MMar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $7.9B to $8.6BMar 28, 2024 to Mar 31, 2025
- RAUM · $8.6B to $9.4BMar 28, 2024 to Mar 31, 2025
- Accounts · 1,140 to 1,330May 4, 2023 to Mar 28, 2024
- Advisory employees · 22 to 23May 4, 2023 to Mar 28, 2024
- Assets in custody · $628M to $736MMay 4, 2023 to Mar 28, 2024
- Employees · 42 to 43May 4, 2023 to Mar 28, 2024
- Insurance-licensed employees · 2 to 3May 4, 2023 to Mar 28, 2024
- State-registered IARs · 16 to 18May 4, 2023 to Mar 28, 2024
- Discretionary RAUM · $679M to $756MMay 4, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $7.0B to $7.9BMay 4, 2023 to Mar 28, 2024
- RAUM · $7.6B to $8.6BMay 4, 2023 to Mar 28, 2024
- Accounts · 1,055 to 1,140Jul 12, 2022 to Mar 31, 2023
- Assets in custody · $725M to $628MJul 12, 2022 to Mar 31, 2023
- Employees · 44 to 42Jul 12, 2022 to Mar 31, 2023
- Insurance-licensed employees · 3 to 2Jul 12, 2022 to Mar 31, 2023
- State-registered IARs · 17 to 16Jul 12, 2022 to Mar 31, 2023
- Discretionary RAUM · $862M to $679MJul 12, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $7.7B to $7.0BJul 12, 2022 to Mar 31, 2023
- RAUM · $8.5B to $7.6BJul 12, 2022 to Mar 31, 2023
- Accounts · 1,067 to 1,055Jan 3, 2022 to Mar 30, 2022
- Assets in custody · $695M to $725MJan 3, 2022 to Mar 30, 2022
- Employees · 43 to 44Jan 3, 2022 to Mar 30, 2022
- State-registered IARs · 15 to 17Jan 3, 2022 to Mar 30, 2022
- Discretionary RAUM · $772M to $862MJan 3, 2022 to Mar 30, 2022
- Non-discretionary RAUM · $6.6B to $7.7BJan 3, 2022 to Mar 30, 2022
- RAUM · $7.4B to $8.5BJan 3, 2022 to Mar 30, 2022
- Accounts · 1,319 to 1,067Sep 30, 2020 to Mar 31, 2021
Signals
6 dated events
- Thomas Patrick Fallon left Shepherd Kaplan Llc for Osaic Wealth, Inc. (registered 2026-04-02)Mar 17, 2026 · Advisor changed firm · fact
- Bayard Dodge (Chief Compliance Officer) appeared on Schedule A of Shepherd Kaplan LlcMar 31, 2023 · Control person joined · fact
- Bruce Goodman (General Counsel, Member, Non-Voting Shares) no longer on Schedule A of Shepherd Kaplan Llc (listed 2022-03-30, absent 2022-07-12)Jul 12, 2022 · Control person left · inference
- Thomas Jonathan Perry (Chief Financial Officer) no longer on Schedule A of Shepherd Kaplan Llc (listed 2020-09-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Adam Timothy Krochuk (Managing Member) no longer on Schedule A of Shepherd Kaplan Llc (listed 2020-01-23, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Sebastian Granzo (Chief Compliance Officer) no longer on Schedule A of Shepherd Kaplan Llc (listed 2019-03-29, absent 2019-11-08)Nov 8, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Shepherd Kaplan LLC · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/SHEPHERD-KAPLAN-LLCreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/SHEPHERD-KAPLAN-KROCHUKreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SK-LLC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 617-896-1600reportedpublic record, Form ADV, Mar 31, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $564Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026