SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Shepherd Kaplan Krochuk, LLC
Boston, MA
CRD 127304
Firm filing updated March 31, 2026 ·
- $10.9BAssets
- 213Clients
- 15Advisory staff
- 1,405Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Performance-based feesYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- High net worth individuals83
- Corporations or other businesses68
- Charities22
- Pension and profit sharing plans18
- Pooled vehicles16
- and 1 more6
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 6 | $1.8 million |
| High net worth individuals | 83 | $1.6 billion |
| Pooled investment vehicles (other than investment companies and business development companies) | 16 | $1.2 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 18 | $7.4 billion |
| Charitable organizations | 22 | $183.5 million |
| Corporations or other businesses not listed above | 68 | $546.2 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
See all 6 services
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisors (including private fund managers)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$10.9 billion
- Accounts1,405
- Discretionary$2.1 billion · 131 accounts
- Non-discretionary$8.8 billion · 1,274 accounts
People
- Employees34
- Advisory staff15
- Broker-dealer reps0
- Licensed insurance agents0
- Planning clients101 to 250
Advisors
2 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 127304, SEC file 801-62286.
- Registered with the SEC as an investment advisor (status date on record: August 20, 2003).
Is Shepherd Kaplan Krochuk, LLC a fiduciary?
Short answer: Shepherd Kaplan Krochuk, LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.