Shepherd Kaplan LLC

Shepherd Kaplan LLC, a DE Limited Liability Company, boasts of 39 employees, 18 of whom have advisory roles. Serving an undisclosed number of clients, the firm's SEC status stands as Approved with registration dating back to October 20, 2003.

• BRUCE GOODMAN

  CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL, MEMBER, NON-VOTING SHARES owns less than 5%

• DAVID CHARLES KAPLAN

  CO-CEO owns less than 5%

• DAVID MORRIS SHEPHERD

  CO-CEO owns less than 5%

• JONATHAN THOMAS PERRY

  CHIEF FINANCIAL OFFICER owns less than 5%

• PETER JOHN DILORENZO

  CHIEF OF STAFF, MEMBER, NON-VOTING SHARES owns less than 5%

• SHEPHERD KAPLAN KROCHUK, LLC

  MANAGING MEMBER owns 75% or more

• TIMOTHY ADAM KROCHUK

  MANAGING MEMBER owns more than 25% but less than 50%

• Nutter Investment Advisors Limited Partnership
• Bainco International Investors LLC
• AEW Capital Management LP
• Woodstock Corporation
• Brooke Private Equity Associates Management LLC
• Trillium Asset Management LLC
• Alcion Ventures Limited Partnership
• ABRY Partners LLC
• Charlesbank Capital Partners LLC
• Geode Capital Management LLC