SHEPHERD KAPLAN KROCHUK, LLC

PEER BENCHMARKS

Understanding SEC Peer Groups

A firm's peer group is calculated based on public self-reported AUM benchmarked against a population of RIAs who submitted a Form ADV to the Securities and Exchange Commission.

SEC Peer Benchmark Details

Firm Self-Reported AUM
$7.9B
Peer Group AUM Range
$7.5B - $8.3B
Sample Size
86
Firm Age (Years)
PEER GROUP AVERAGE
13
Structure
PEER GROUP AVERAGE
Limited Liability Company (43 firms)
Discretionary Accounts
PEER GROUP AVERAGE
873
Discretionary AUM
PEER GROUP AVERAGE
$7.0B
Non-Discretionary Accounts
PEER GROUP AVERAGE
510
Non-Discretionary AUM
PEER GROUP AVERAGE
$930.5M
Total Clients
PEER GROUP AVERAGE
809
Total AUM
PEER GROUP AVERAGE
$7.9B
Offices
PEER GROUP AVERAGE
1
Total Employees
PEER GROUP AVERAGE
61
Investment Advisors
PEER GROUP AVERAGE
29
Registered Representatives
PEER GROUP AVERAGE
2
Licensed Insurance Agents
PEER GROUP AVERAGE
1
Foreign Clients
PEER GROUP AVERAGE
35.7%
Clients Without Regulatory Assets
PEER GROUP AVERAGE
2
Compensation
PEER GROUP AVERAGE
FIRM VALUE
Percentage of AUM Yes 83 Firms Yes
Hourly Charges No 84 Firms No
Subscription Fees No 85 Firms No
Fixed Fees No 72 Firms No
Commissions No 85 Firms No
Performance Based Fees Yes 69 Firms Yes
Other No 70 Firms No

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