David Kaplan is a registered investment advisor at Shepherd Kaplan Krochuk, LLC, based in Boston, MA, with 18 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 197 clients with $9.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
SKK provides asset management services to private investment funds and other institutions. Fees for private investment funds vary depending on the fund's objectives and strategies, and are detailed in the fund's offering materials. Compensation typically includes a fixed percentage fee and/or a performance-based incentive allocation. Fees may be waived or reduced for certain investors, such as members, principals, employees, or affiliates of SKK. The Registered Investment Company (RIC) pays SKK a management fee of 0.65% annually of the RIC’s net managed assets. This fee is generally waived or rebated for SKK's wealth management client investors.
Location
53 State Street, 23rd Floor, Boston, MA, 02109-2820
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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David is a managing member at Shepherd Kaplan Krochuk LLC, an investment advisor, dedicating about half his time to long-term strategy and operations. He also spends minimal time overseeing the broker-dealer application for SKK Capital Advisors, LLC.
Employment History
Current Registrations
Shepherd Kaplan Krochuk, LLC
Shepherd Kaplan LLC
State Registrations2 states
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