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.
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SEC-registered adviser
S••••••• F•••••••• P•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Aug 6, 2015 · 35 filings
SEC status approved since Aug 24, 2015
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$1.2B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$172M
derived; firm RAUM over IAPD count
Employees
24
7 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$1.4B as of Mar 27, 2026
Mar 28, 2016$312M then
HNW client RAUM$1.1B as of Mar 27, 2026
Mar 30, 2018$383M then
State-registered IARs (5.B.3)7 as of Mar 27, 2026
Mar 28, 20168 then
Employees (5.A)24 as of Mar 27, 2026
Mar 28, 201620 then
Private funds: no history
RAUM +21% over the last fiscal year+20% a year over threeIARs 8 to 7offices 4 to 5
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $172MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $710,490derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $1.3BreportedItem 5.I
- Custody
- $468M, 161 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B82%
- Individuals$99.7M7.2%
- Corporations and businesses$95.3M6.9%
- Pension and profit-sharing plans$37.7M2.7%
- Charitable organizations$9.6M0.7%
- Individual clients
- 386reported
- HNW clients
- 344reported
- Pension plan clients
- 7reported
- Charitable clients
- 14reported
- Accounts
- 1,941reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $468M for 161 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=7.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• M••• S•••••••Certified Financial Planner | Winchester, Ma | Apr 7, 1995 | 37 y | 0 |
| P••• R••••• B••••••••Certified Financial Planner | Tewksbury, Ma | Sep 2, 2015 | 39 y | 0 |
| S•••• L•• K•••••• | Winchester, Ma | Nov 10, 2015 | 10 y | 0 |
| J•••• R••••• L••••• | Winchester, Ma | Apr 26, 2016 | 18 y | 0 |
| S••••• F•••••• S•• P•••••Certified Financial Planner | Naples, Fl | Dec 8, 2017 | 27 y | 1 |
| S••••• S• S•••••••Chartered Financial Analyst | Winchester, Ma | Mar 26, 2018 | 10 y | 0 |
| C••••••••• M•••••• C•••••••Chartered Financial Analyst | Winchester, Ma | Jul 17, 2024 | 10 y | 1 |
| A•••••• J••••• C••••••••• | Winchester, Ma | Mar 19, 2026 | 11 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- R••••• W•••••• P•••• to B••••••••• P•••••••Aug 18, 2025 · RIA to RIA
- B•••• N••• G•••••• to B••••••• F•••••••• S•••••••• I•••Nov 16, 2020 · RIA to RIA
- C•••••• R••• H••••• to A•••••• F•••••••• G••••• L••Oct 2, 2019 · RIA to a newly registered adviser
- A••••••••• M••••• N••••••• to A•••••• F•••••••• G••••• L••Oct 2, 2019 · RIA to a newly registered adviser
- A••••• J••••• M••••• to W••••••• W•••••Jan 10, 2018 · Other
Joined, latest
- A•••••• J••••• C••••••••• from C•••••• O•• C•••••• M•••••••••Mar 19, 2026 · RIA to RIA
- C••••••••• M•••••• C••••••• from P••• T••• P•••••••• L•Jul 17, 2024 · Other
- S••••• F•••••• S•• P••••• from U••• F•••••••• A•••••••Dec 8, 2017 · Other
- B•••• N••• G•••••• from L•• F•••••••• L••Oct 17, 2016 · Other
- C•••••• R••• H••••• from S•••••• N•••• F•••••••• P••••••• L••Sep 2, 2015 · Other
- A••••••••• M••••• N••••••• from L•• F•••••••• L••Sep 2, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for A•••••• F•••••••• G••••• L••Oct 2, 2019 · Winchester, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• B••••• G••••• · Chief Investment Officercontrolsince 07/2019 · owns less than 5%
- K••••••• S••••• L•• · Managing Directorcontrolsince 06/2015 · owns less than 5%
- L•••••• J•••• G••••• · Chief Operating Officercontrolsince 06/2015 · owns less than 5%
- S•••••••• R•••••• M••• · Managing Member, Chief Executive Officer And Chief Compliance Officercontrolsince 06/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Winchester, Ma · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boston, MA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,779 to 1,941Feb 25, 2026 to Mar 27, 2026
- Advisory employees · 8 to 7Feb 25, 2026 to Mar 27, 2026
- BD registered reps · 8 to 7Feb 25, 2026 to Mar 27, 2026
- Charity clients · 12 to 14Feb 25, 2026 to Mar 27, 2026
- Corporate clients · 11 to 16Feb 25, 2026 to Mar 27, 2026
- HNW clients · 300 to 344Feb 25, 2026 to Mar 27, 2026
- Individual clients · 392 to 386Feb 25, 2026 to Mar 27, 2026
- Pension plan clients · 9 to 7Feb 25, 2026 to Mar 27, 2026
- Assets in custody · $315M to $468MFeb 25, 2026 to Mar 27, 2026
- Employees · 21 to 24Feb 25, 2026 to Mar 27, 2026
- State-registered IARs · 8 to 7Feb 25, 2026 to Mar 27, 2026
- Discretionary RAUM · $1.1B to $1.4BFeb 25, 2026 to Mar 27, 2026
- HNW RAUM · $919M to $1.1BFeb 25, 2026 to Mar 27, 2026
- Individual RAUM · $103M to $99.7MFeb 25, 2026 to Mar 27, 2026
- Pension RAUM · $37.1M to $37.7MFeb 25, 2026 to Mar 27, 2026
- RAUM · $1.1B to $1.4BFeb 25, 2026 to Mar 27, 2026
- Other offices · 4 to 5Mar 26, 2025 to Feb 25, 2026
- Accounts · 696 to 1,779Nov 8, 2024 to Mar 26, 2025
- BD registered reps · 9 to 8Nov 8, 2024 to Mar 26, 2025
- Charity clients · 7 to 12Nov 8, 2024 to Mar 26, 2025
- Corporate clients · 13 to 11Nov 8, 2024 to Mar 26, 2025
- HNW clients · 274 to 300Nov 8, 2024 to Mar 26, 2025
- Individual clients · 391 to 392Nov 8, 2024 to Mar 26, 2025
- Assets in custody · $234M to $315MNov 8, 2024 to Mar 26, 2025
- Employees · 23 to 21Nov 8, 2024 to Mar 26, 2025
- Financial planning clients · 26-50 to 51-100Nov 8, 2024 to Mar 26, 2025
- State-registered IARs · 7 to 8Nov 8, 2024 to Mar 26, 2025
- Other offices · 3 to 4Nov 8, 2024 to Mar 26, 2025
- Discretionary RAUM · $975M to $1.1BNov 8, 2024 to Mar 26, 2025
- HNW RAUM · $776M to $919MNov 8, 2024 to Mar 26, 2025
- Individual RAUM · $97.2M to $103MNov 8, 2024 to Mar 26, 2025
- Pension RAUM · $32.8M to $37.1MNov 8, 2024 to Mar 26, 2025
- RAUM · $975M to $1.1BNov 8, 2024 to Mar 26, 2025
- Accounts · 658 to 696Nov 8, 2023 to Mar 27, 2024
- Advisory employees · 9 to 8Nov 8, 2023 to Mar 27, 2024
- BD registered reps · 10 to 9Nov 8, 2023 to Mar 27, 2024
- Charity clients · unset to 7.0Nov 8, 2023 to Mar 27, 2024
- HNW clients · 212 to 274Nov 8, 2023 to Mar 27, 2024
- Individual clients · 420 to 391Nov 8, 2023 to Mar 27, 2024
- Assets in custody · $266M to $234MNov 8, 2023 to Mar 27, 2024
Signals
5 dated events
- R••••• W•••••• P•••• left S••••••• F•••••••• P•••••••• L•• for B••••••••• P••••••• (registered 2025-09-03)Aug 18, 2025 · Advisor changed firm · fact
- S••••••• F•••••••• P•••••••• L•• reported RAUM $687.5M, up 25% from $548.5M (2020-12-23 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- S••••••• F•••••••• P•••••••• L•• reported RAUM $548.5M, down 31% from $799.1M (2019-12-04 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- G••••• B•••• D••••• (Chief Investment Officer) appeared on Schedule A of S••••••• F•••••••• P•••••••• L••Mar 30, 2020 · Control person joined · fact
- S••••••• F•••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Aug 6, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 781-729-4356reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 781-756-1804reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/shepherd-financial-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- shepherdfinancialpartners.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (781) 756-1804reportedpublic record, Form ADV, Mar 27, 2026
- Team page
- shepherdfinancialpartners.com/meet-the-teamreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $172Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026