# SHEPHERD KAPLAN KROCHUK, LLC

SHEPHERD KAPLAN KROCHUK, LLC of BOSTON, MA is an SEC-registered investment adviser.

## Registration

- CRD: 127304
- Type: SEC-registered investment adviser
- SEC file number: 801-62286
- Location: 53 STATE STREET, 23RD FLOOR, BOSTON, MA, 02109-2820
- Phone: 617-896-1600
- Latest filing: 2026-03-31
- Regulatory AUM: $10.9B
- Discretionary AUM: $2.1B
- Non-discretionary AUM: $8.8B
- Clients: 34
- Accounts: 1,405

## Business model

- Compensation: % of AUM, Performance
- Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Investment cos

## Officers, owners & control persons (21)

| 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 | — |


## Disclosures (2)

| 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 | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/127304/brochure
- Similar advisers: https://search.stillhousedata.com/firm/127304/similar
- Related entities: https://search.stillhousedata.com/firm/127304/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/127304

---

Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.