KH
Keri S. Hepburn
ARISTOTLE CAPITAL MANAGEMENT
BOSTON, MA 02110
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CRD#: 1827256
KH
Professional summary
Keri Schaake Hepburn, who also goes by Keri Patricia Schaake, is a registered financial advisor currently at ARISTOTLE CAPITAL MANAGEMENT, LLC located in Boston, Massachusetts and FORESIDE FINANCIAL SERVICES, LLC located in Boston, Massachusetts.
Keri is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Keri has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Keri Patricia Schaake
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Aristotle Capital Management LLC; Investment Related; Boston, MA; 1/2/2018; RIA; Senior Vice President, Institutional Services; Business Development; 200 hours per month with 160 during trading hours. 2) KPS, Inc.; Non-Investment Related; Hampton, NH; Rental Property; Director; 7/93 Start Date; 1 hour per month, 0 during trading hours 3) Hampton House Hotel, Inc.; Non-Investment Related; Hampton, NH; Hotel; Director; Start 04/2014; 0 hours per month, 0 during securities trading hours 4) Glen Hill Inc.; Not Investment Related; Hampton, NH; Property owner; Director; 4/14 Start date; 0 hours per month, 0 during trading hours. 5) 2C&D, LLC; Hampton, NH; Investment Related - No; Started 01/2023; Vacation Home/Rental Property; Partner; 1 hour per month with 0 hours during securities trading hours. In addition to being an Investment Advisor Representative of Aristotle Capital Management, LLC. this associate is a Registered Representative of IMST Distributors, LLC, an unaffiliated Broker Dealer. The associate is a Registered Representative for purposes of IMST Distributors, LLC.
CRS (Client Relationship Summary) - RIA
Click below to view Keri Schaake Hepburn's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 30, 2018 - Present
ARISTOTLE CAPITAL MANAGEMENT, LLC
Office #1: 125 Summer Street Suite 1220, Boston, MA 02110RIA
CRD#: 109876
BOSTON, MA
Current
October 20, 2023 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 1 Federal Street 36th Floor, Boston, MA 02110BD
CRD#: 148477
Boston, MA
Past
February 15, 2018 - October 24, 2023
IMST DISTRIBUTORS, LLC
BD
CRD#: 130745
Boston, MA
Past
June 14, 2017 - August 2, 2017
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
BOSTON, MA
Past
December 7, 2007 - August 2, 2017
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
BOSTON, MA
Past
July 15, 2005 - December 7, 2007
AT INVESTOR SERVICES, INC.
BD
CRD#: 47837
BOSTON, MA
Past
July 28, 1998 - July 15, 2005
GPC SECURITIES, INC.
BD
CRD#: 14007
ATLANTA, GA
Past
October 12, 1995 - December 31, 1997
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 289
HOUSTON, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AC
ARISTOTLE CAPITAL MANAGEMENT, LLC
ARISTOTLE | REED CONNER & BIRDWELL LLC | REED CONNER & BIRDWELL | ARISTOTLE CAPITAL MANAGEMENT, LLC
CRD#: 109876 / SEC#: 801-60014
RIA
Registered Investment Advisory firm - (2/8/2001 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arkansas(10/24/2023)
RR
Connecticut(10/24/2023)
RR
Delaware(10/24/2023)
RR
District of Columbia(10/24/2023)
RR
Florida(10/24/2023)
RR
Georgia(10/24/2023)
RR
Kansas(10/24/2023)
RR
Kentucky(10/24/2023)
RR
Maine(10/24/2023)
RR
Maryland(10/24/2023)
IAR
Massachusetts(7/30/2018)
RR
Massachusetts(10/24/2023)
RR
Michigan(10/24/2023)
RR
Minnesota(10/24/2023)
RR
Mississippi(10/24/2023)
RR
Missouri(10/24/2023)
RR
New Hampshire(10/24/2023)
RR
New Jersey(10/24/2023)
RR
New York(10/24/2023)
RR
North Carolina(10/24/2023)
RR
North Dakota(10/24/2023)
RR
Ohio(10/25/2023)
RR
Oklahoma(10/24/2023)
RR
Pennsylvania(10/24/2023)
RR
Rhode Island(10/24/2023)
RR
South Carolina(10/24/2023)
RR
Tennessee(3/19/2024)
RR
Texas(10/24/2023)
RR
Vermont(10/24/2023)
RR
Virginia(10/24/2023)
RR
West Virginia(10/24/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AC
ARISTOTLE CAPITAL MANAGEMENT, LLC
ARISTOTLE | REED CONNER & BIRDWELL LLC | REED CONNER & BIRDWELL | ARISTOTLE CAPITAL MANAGEMENT, LLC
CRD#: 109876 / SEC#: 801-60014
RIA
Registered Investment Advisory firm - (2/8/2001 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11100 Santa Monica Blvd Suite 1700, Los Angeles, CA 90025-0449
Mailing Address
Phone number
(310) 478-4005
Established
Firm type
Fiscal year end
# of Employees
156
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,904 |
| AUM (Assets Under Management) | $ 43,833,669,241 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ARISTOTLE CAPITAL MANAGEMENT, LLC
CRD#: 109876Boston, MA 02110TRUST BUT VERIFY
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