David Charles Kaplan

Employer firm

Shepherd Kaplan LLC CRD 128244

$10.2B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2003 → Present
  Shepherd Kaplan Llc
  Boston, MA
• 11/2017 → Present
  Shepherd Kaplan Krochuk Llc
  Boston, MA
• 05/2019 → Present
  Skk Capital Advisors, Llc
  Boston, MA

Other Businesses

Name of Business: Shepherd Kaplan Krochuk LLC, Investment Related: Yes, Address: 125 Summer St - 22nd Floor - Boston MA 02110, Nature Of Business: Investment Advisor, 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, CCO, Start Date: 02/01/2019, Hours per month and during trading hours: 1, Duties: Overseeing (Pending) Broker Dealer application.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-01-20
• S63 Uniform Securities Agent State Law Examination
  1997-12-15