Shepherd Kaplan LLC

Shepherd Kaplan LLC

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125 Summer Street 22nd Floor

Boston, MA 02110-1654

617-896-1600

sk-llc.com

No. advisers: 39

AUM: $6,209,178,429

Asset Breakdown

Staff
Employees 39
Clients
High-net-worth individuals 0
Financial planning clients 1-10
High-net-worth client assets 0 (None)
Compensation
Percentage of assets under management No
Hourly charges No
Subscription fees No
Fixed fees No
Commissions No
Performance-based fees No
Total AUM Total Accounts Avg. Account AUM
Discretionary $861,590,624 224 $3,846,387
Non-discretionary 5347587805 1,033 $5,176,755
Total $6,209,178,429 1,257 $4,939,681

Success stories: Northeast

December 8, 2018 - Rank Firm Phone/website Total Discretionary Nondiscretionary Employees assets ($M) accounts assets ($M) accounts assets ($M) accounts 1 Silvercrest Asset Management Group 1330 Avenue Of The Americas, 38th Floor New York, NY 10019 (212) 649-0600 silvercrestgroup.com...

Largest fee-only RIAs

June 9, 2018 - Rank 2018 2018 Total Discretionary Nondiscretionary Firm Phone/website assets ($M) accounts assets ($M) accounts assets ($M) accounts Employees 1 Financial Engines Advisors 1050 Enterprise Way, Third Floor Sunnyvale, CA 94089 (408) 498-6000 financialengines.com...

    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

Purchase the data and information contained in the RIA Data Center in an Excel spreadsheet.

For comments or suggestions about the Adviser Center, please contact us.

Reprints: For reprints of these rankings, please contact Laura Picariello.

*Methodology:InvestmentNews qualified 2,172 firms headquartered in the United States based on data reported on Form ADV to the Securities and Exchange Commission as of May 1, 2018. To qualify, firms must have met the following criteria: (1) latest ADV filing date is either on or after January 1, 2017, (2) total AUM is at least $100M, (3) does not have employees who are registered representatives of a broker-dealer, (4) provided investment advisory services to clients during its most recently completed fiscal year, (5) no more than 50% of amount of regulatory assets under management is attributable to pooled investment vehicles (other than investment companies), (6) no more than 25% of amount of regulatory assets under management is attributable to pension and profit-sharing plans (but not the plan participants), (7) no more than 25% of amount of regulatory assets under management is attributable to corporations or other businesses, (8) does not receive commissions, (9) provides financial planning services, (10) is not actively engaged in business as a broker-dealer (registered or unregistered), (11) is not actively engaged in business as a registered representative of a broker-dealer, (12) has neither a related person who is a broker-dealer/municipal securities dealer/government securities broker or dealer (registered or unregistered) not one who is an insurance company or agency.

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