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David Morris Shepherd

SHEPHERD KAPLAN
BOSTON, MA
·CRD# 2284051·34 years experience

Professional Summary

David Morris Shepherd, who also goes by David M Shepherd, is a registered financial advisor currently at SHEPHERD KAPLAN LLC located in Boston, Massachusetts and SHEPHERD KAPLAN KROCHUK, LLC located in Boston, Massachusetts. David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. David has worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

David M Shepherd

Blog Corner

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

34 years in the financial services industry

Current & Past Employments

SHEPHERD KAPLAN LLC·CRD# 128244
RIA
53 State Street 23rd Floor, Boston, MA 02109-2820
October 5, 2007 - Present
SHEPHERD KAPLAN KROCHUK, LLC·CRD# 127304
RIA
53 State Street 23rd Floor, Boston, MA 02109-2820
December 22, 2017 - Present
TRIAD ADVISORS LLC·CRD# 25803
BD
Atlanta, GA
February 27, 2001 - December 31, 2004
NTB FINANCIAL CORPORATION·CRD# 7425
BD
Highlands Ranch, CO
April 20, 1998 - February 14, 2001
NTB FINANCIAL CORPORATION·CRD# 7425
BD
April 14, 1998 - May 6, 1998
OSAIC WEALTH, INC.·CRD# 23131
BD
Scottsdale, AZ
May 16, 1996 - April 16, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES·CRD# 4039
BD
New York, NY
October 21, 1992 - May 9, 1996
EQUITABLE ADVISORS, LLC·CRD# 6627
BD
New York, NY
October 21, 1992 - May 9, 1996

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Current Firm

SK
SHEPHERD KAPLAN KROCHUK, LLC

GRT CAPITAL PARTNERS, LLC | SHEPHERD KAPLAN KROCHUK, LLC

CRD#: 127304 / SEC#: 801-62286
RIA
Registered Investment Advisory firm - SEC (8/20/2003 Approved)

Contact Information

Main Address

53 State Street 23rd Floor, Boston, MA 02109-2820

Phone Number

(617) 896-1600

# of Employees

34

SEC notice filing (10 States and Territories)

Registered to provide investment advisory services in 10 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SHEPHERD KAPLAN KROCHUK, LLC FORM ADV PART 2A FIRM BROCHURE (3/31/2026)

Regulatory Assets Under Management

Total Number of Accounts

1,405

AUM (Assets Under Management)

$10,884,215,665

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

Name of Business: Shepherd Kaplan Krochuk LLC, Investment Related: Yes, Address: 125 Summer St - 22nd Floor - Boston MA 02110, Nature Of Business: Asset Management, Position: Managing Member, Start Date: 11/01/2017, Hours per month and during trading hours: 80, Duties: In charge of long-term strategy and operating areas of the firm. Name of Business: SKK CAPITAL ADVISORS, LLC, Investment Related: No (Pending), Address: 125 Summer St - 22nd Floor - Boston MA 02110, Nature Of Business: Broker Dealer (Pending), Position: Managing Member, Start Date: 02/01/2019, Hours per month and during trading hours: 1, Duties: Overseeing (Pending) Broker Dealer application. Board Member of Etiometry, Inc, Investment Related: No, Address: 280 Summer St fl 4, Boston, MA 02210, Nature of Business: Biotech Software company, Position: Board Member, Start Date: 07/01/2018. Hours per month devoted and devoted during trading hours: 4, Duties: Participate on the establishment of policies for corporate management and provide oversight, and participate of the decision making process on major company issues. Board Member of Cristcot, LLC, Investment Related: No, Address: 9 Damonmill Square, Suite 4A, Concord, MA 01742, Nature of Business: Global Life Sciences Company, Position: Board Member, Start Date: 01/01/2019. Hours per month devoted and devoted during trading hours: 4, Duties: Participate on the establishment of policies for corporate management and provide oversight, and participate of the decision making process on major company issues.

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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".
SK
SHEPHERD KAPLAN KROCHUK, LLC

GRT CAPITAL PARTNERS, LLC | SHEPHERD KAPLAN KROCHUK, LLC

CRD#: 127304 / SEC#: 801-62286
RIA
Registered Investment Advisory firm - SEC (8/20/2003 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.
IAR
Massachusetts
(10/5/2007)
IAR
Texas
(11/1/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 1998About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1992About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 1998About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Oct 1992About the Series 6 exam

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CRS (Client Relationship Summary) - RIA

Click below to view David Morris Shepherd's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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