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Roger Debock

Shepherd Investment Management
17 Years of Experience
San Diego, CA
4 Disclosures
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Roger Debock is a registered investment advisor at Shepherd Investment Management, based in San Diego, CA, with 17 years of industry experience. Roger operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth, Investment Management. Their firm serves 8 clients with $3.2M in assets under management.

Shepherd Investment Management
Compensation
Fee-Only (% of Portfolio)
Firm Size
2 advisors
Number of Clients
8 clients
Average Client Portfolio
$397K average
Assets Under Management
$3.2M

Fee Structure

Minimum Investment:$250K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.00%

Management fee is 1.00% annually, based on the average daily value of the account during the quarter and payable quarterly in arrears. Fees may be negotiated at the discretion of the advisor.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

San Diego, CA

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2005
Settled
Regulatory
March 2005
Final
Customer Dispute
July 2004
Settled
Employment Separation After Allegations
January 2004
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Shepherd Investment Management
August 2026 - Present · 2 mos
Previous Registrations
Western Financial Advisors
July 2006 - July 2007 · 1 yr
Wfp SecuritiesBroker
February 2006 - July 2007 · 1 yr 5 mos
Wm Financial Services, INC.Broker
May 1998 - February 2004 · 5 yrs 9 mos
Great Western Financial Securities CorporationBroker
March 1996 - May 1998 · 2 yrs 2 mos
Dean Witter Reynolds INC.Broker
February 1988 - March 1996 · 8 yrs 1 mo
State Registrations1 state
CA
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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