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Important Disclosures & Form CRS

This Website

This site is not intended to be used as a general guide to investing, or as a source of any specific investment recommendations, and makes no implied or express recommendations concerning the manner in which any client's account should or would be handled, as appropriate investment strategies depend upon the client's investment objectives. Shepherd Kaplan Krochuk LLC provides investment advice. It does not provide legal or tax advice. It is the responsibility of clients to inform themselves of and to obtain appropriate advice as to any applicable legal requirements and any applicable taxation and exchange control regulations in the countries of their citizenship, residence or domicile which might be relevant to the subscription, purchase, holding, exchange, redemption or disposal of any investments.  This site does not constitute a solicitation in any jurisdiction in which such a solicitation is unlawful or to any person to whom it is unlawful. Moreover, this site neither constitutes an offer to enter into an investment agreement with the recipient of this document nor an invitation to respond to the document by making an offer to enter into an investment agreement. 

Business Continuity Plan at Shepherd Kaplan LLC

Shepherd Kaplan Krochuk LLC maintains a detailed Business Continuity and Disaster Recovery Plan in the event of an internal, or external, disaster. In the event of a disaster, Shepherd Kaplan Krochuk will respond by safeguarding employees, firm property, books and records, making a financial and operational assessment, and quickly recovering and resuming operations, thus allowing our clients and investors to transact business. In the event that our normal business operations are disrupted, clients and investors will be notified, and will have prompt access to their accounts, as all of our custodians have several locations. If a disaster has occurred, and you are a Shepherd Kaplan Krochuk client or investor, you may contact Shepherd Kaplan Krochuk in several ways:

  • Calling the main line at 617-896-1600
  • If you have a standard contact, all phones will be re-routed to the individuals’ cell phone

Form CRS

For a copy of Shepherd Kaplan Krochuk LLC's Form CRS (Customer Relationship Summary) click here.