Asset manager · Boston, MA
Shepherd Kaplan Krochuk, LLC
SEC-registered investment adviser · CRD 127304 · SEC 801-62286
At a glance
Shepherd Kaplan Krochuk, LLC is an SEC-registered investment adviser based in Boston, Massachusetts, with $10.9 billion in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is pension and profit sharing plans, and it reports 89 individual clients. By Form ADV it is a asset manager, ranked 497th of 3,218 asset managers and 1,295th of 17,210 SEC-registered advisers by assets.
Main office 617-896-1600skk-llc.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $11B
- Rank among asset managers
- #497 of 3,218
- Rank among all SEC RIAs
- #1,295 of 17,210
- Rank in Massachusetts
- #92 of 627
- Individual clients
- 89
- High-net-worth clients
- 83
- Accounts
- 1,405
- Discretionary
- 19% of AUM
- Employees
- 34
- Advisory staff
- 15
- Offices
- 1
Owners and executives on its Form ADV
- Timothy A. KrochukManagement Board
- David C. KaplanManagement Board
- David M. ShepherdManagement Board
- Peter J. DilorenzoChief Operating Officer; Chief Information Security Officer
- Stephen M. BrackettManagement Board, President
- Brian D. LockhartManagement Board
- Bayard N. DodgeChief Compliance Officer
Custody and brokerage
Broker-dealer
Affiliated broker-dealer
It names an affiliated broker-dealer: PCF Capital Markets LLC.
- PCF Capital Markets LLC ↗CRD 290765
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pension and profit sharing plans | 18 | $7.4B | 68% |
| High-net-worth individuals | 83 | $1.6B | 14% |
| Pooled investment vehicles | 16 | $1.2B | 11% |
| Corporations or other businesses | 68 | $546M | 5% |
| Charitable organizations | 22 | $183M | 2% |
| Individuals | 6 | $2M | <1% |
Private funds
Shepherd Kaplan Krochuk, LLC reports 58 private funds with $1.1B in gross assets: private equity funds, venture capital funds, real estate funds (Form ADV Item 7.B).
Disciplinary disclosures
Shepherd Kaplan Krochuk, LLC answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗skk-llc.com ↗
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The full record on Shepherd Kaplan Krochuk, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 536 peers of its type and size
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- Owners and executives, with titles and stakes
- 7 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
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Background
Questions
How much does Shepherd Kaplan Krochuk, LLC manage?
Shepherd Kaplan Krochuk, LLC reports $10.9 billion in regulatory assets under management across 1,405 accounts, 19% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Shepherd Kaplan Krochuk, LLC?
Shepherd Kaplan Krochuk, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Shepherd Kaplan Krochuk, LLC’s clients?
By assets, its largest client types are pension and profit sharing plans ($7.4 billion, 18 clients); high-net-worth individuals ($1.6 billion, 83 clients); pooled investment vehicles ($1.2 billion, 16 clients).
Does Shepherd Kaplan Krochuk, LLC manage private funds?
Yes. It reports 58 private funds with $1.1 billion in gross assets, including private equity funds, venture capital funds, real estate funds.
Does Shepherd Kaplan Krochuk, LLC have any disciplinary history?
Shepherd Kaplan Krochuk, LLC answers yes to 1 disclosure item in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Shepherd Kaplan Krochuk, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →