SHEPHERD KAPLAN KROCHUK, LLC of BOSTON, MA is an SEC-registered investment adviser (CRD 127304). Regulatory assets under management: $10.9B.
Compensation: % of AUM, Performance.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Investment cos.
| Name | Role | Location |
|---|---|---|
| David Charles Kaplan | MANAGEMENT BOARD; PRESIDENT | — |
| David Morris Shepherd | MANAGEMENT BOARD; PRESIDENT | — |
| Peter John Dilorenzo | CHIEF OPERATING OFFICER; CHIEF INFORMATION SECURITY OFFICER | — |
| Bayard Nmn Dodge | CHIEF COMPLIANCE OFFICER | — |
| Timothy Adam Krochuk | MANAGEMENT BOARD; PRESIDENT | — |
| Stephen Michael Brackett | MANAGEMENT BOARD, PRESIDENT; PRESIDENT | — |
| Brian David Lockhart | MANAGEMENT BOARD; MEMBER | — |
| FRASER GREGORY BRUCE | MANAGING DIRECTOR; MANAGING MEMBER | — |
| KLUIBER RUDOLPH KARL | MANAGING DIRECTOR; MANAGING MEMBER | — |
| KROCHUK TIMOTHY ADAM | MANAGEMENT BOARD; MANAGING DIRECTOR; MANAGING MEMBER (+3 more) | — |
| KAPLAN DAVID CHARLES | MANAGEMENT BOARD; MANAGEMENT BOARD; CHIEF COMPLIANCE OFFICER; MANAGING MEMBER (+2 more) | — |
| SHEPHERD DAVID MORRIS | MANAGEMENT BOARD; MANAGING MEMBER; MANAGING MEMBER, CO-CEO (+1 more) | — |
| LOCKHART BRIAN DAVID | MANAGEMENT BOARD; MEMBER | — |
| GOODMAN BRUCE | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER; GENERAL COUNSEL; GENERAL COUNSEL | — |
| GRANZO SEBASTIAN | CHIEF COMPLIANCE OFFICER | — |
| DILORENZO PETER JOHN | CHIEF OF STAFF; CHIEF INFORMATION SECURITY OFFICER; CHIEF OPERATING OFFICER; CHIEF INFORMATION SECURITY OFFICER | — |
| PERRY JONATHAN THOMAS | CHIEF FINANCIAL OFFICER | — |
| WING DARMAN ANDER | GENERAL COUNSEL | — |
| BRACKETT STEPHEN MICHAEL | MANAGEMENT BOARD, PRESIDENT; PRESIDENT | — |
| DODGE BAYARD | CHIEF COMPLIANCE OFFICER | — |
| DODGE BAYARD NMN | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| — | regulatory | FAILURE TO DISCLOSE, IN WRITING, A MATERIAL CONFLICT OF INTEREST RELATING TO OUTSIDE BUSINESS ACTIVITIES IN CONNECTION WITH THE ADVISORY AFFILIATE'S INVOLVEMENT IN THE PRODUCTION OF A FILM. | Final | — |