SourcingSourcing

SHEPHERD KAPLAN LLC

C17
CRD 128244·SEC 801-62349·BOSTON, MA
AUM
$10.16B
$1B+
Est. Revenue
$101.6M
@ 1% on AUM
Est. EBITDA
$30.5M
@ 30% margin
Est. Deal Value
$243.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SHEPHERD KAPLAN LLC
CRD
128244
SEC file #
801-62349
EIN
000000000
DBA names
—

Economics

AUM
$10.16B
AUM band
$1B+
AUM trajectory
'20'26
$5.88B → $10.16B▲ +73%
Client mix
—

Operations

Employees (total)
42
Advisory staff (per ADV)
24
Advisory staff (5-yr trend)
'20'26
18 advisors → 24 advisors▲ +33%
Primary office
BOSTON MA
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
Other Compensation

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
linkedin.com/company/shepherd-kaplan-krochuk(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SHEPHERD KAPLAN KROCHUK, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
5
Control Persons
SHEPHERD KAPLAN KROCHUK, LLC
DILORENZO, PETER, JOHN
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:linkedin.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
5
Form 5500 Total Compensation
277,326
Form 5500 Compensation Trajectory 3y
2025230,940
202646,386
Form 5500 Plan Count Trajectory 3y
20254
20261
Schedule C Total Compensation
277,326
Schedule C Service Provider Rows
5

SEC EDGAR

Edgar Cik
0001218583
Edgar Registered
Yes
Edgar Filing Count
147
Edgar First Filing Date
2003-02-13
Edgar Last Filing Date
2026-05-15
Edgar 13f Count
95
Edgar 13f Latest AUM Estimate
Filing Date2026-05-15
Accession0000919574-26-003276
Edgar Former Names
GRT CAPITAL PARTNERS L.L.C.
GRT CAPITAL PARTNERS LLC

Compliance & brand

Firm Registration Status
active

All other collected signals (13)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
17
Bc Firm IAR Count
17
Custodian Candidates
Full
E*trade4
Northern Trust2
State Street1
Edgar Addresses
Mailing
53 STATE STREET23RD FLOORBOSTON, MA 02109
Business
53 STATE STREET23RD FLOORBOSTON, MA 02109
Edgar EIN
000000000
Edgar Recent Filings
13F-HR2026-05-15 · 0000919574-26-003276
13F-HR2026-02-13 · 0000919574-26-000962
Fee Schedule
Bracket Ix68
Bracket X11
Bracket I9
Bracket Xi6
Bracket Ii3
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
127304
Trust Company Affiliate
No

People (20)

20
SHEPHERD KAPLAN KROCHUK, LLC
Direct Owner · 87.5%
127304
KAPLAN, DAVID, CHARLES
IAR · Executive Officer · 2.5%
2307318
SHEPHERD, DAVID, MORRIS
IAR · Executive Officer · 2.5%
2284051
DILORENZO, PETER, JOHN
Executive Officer · 2.5%
6842439
DODGE, BAYARD, NMN
Executive Officer · 2.5%
6067641
Michael DeForest Howard-Johnson
IAR
6793795
CHRISTOPHER MATTHEW COLE
IAR
5819179
SEAN ROBERT FLAHERTY
IAR
6085932
SHAWN CHARLES SAMPERI
IAR
1880062
MICHAEL ANTHONY HALLORAN
IAR
5074100
Madison Jane DeSantis
IAR
7317044
JENNIFER MARIE CHAROBEE
IAR
6415132
ERIC ANDREW COLLEA
IAR
6844743
JOHN HENRY GERINGER
IAR
4285132
DAVID EVAN PERLIN
IAR
1301100
Paul JOSEPH Roberts
IAR
4404408
JOSEPH A ARMISTO
IAR
6063682
KEVIN MICHAEL FLANNERY
IAR
6844926
JOHN JOSEPH BOSCO
IAR
6284583
RICHARD WILLIAM BLAIR
IAR
5995153