Shepherd Advisor
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$775,000
This total excludes 3 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
3
0% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
3
Very LowAverage account size
$258,333
About
Shepherd Advisor provides advisory services to individual clients, including high‑net‑worth individuals and retirement plans, through ongoing portfolio management, financial planning, and newly offered pension/401(k) consulting. The firm’s service set covers a range of investment types—mutual funds, fixed income, equities, ETFs, annuities, private placements and venture capital—and it documents client objectives in an Investment Policy Statement for each engagement.
The firm employs a variety of analytic methods (charting, cyclical, fundamental, quantitative, modern portfolio theory, and technical analysis) and may use long‑ and short‑term trading, options and margin strategies as appropriate. Although Shepherd Advisor seeks discretionary authority from clients, the brochure reports that about 89% of its assets under management ($6.075M of $6.85M) are currently managed on a non‑discretionary basis, and clients are required to custody assets at Schwab Institutional.
Distinctive features noted in the brochure include a material affiliation with the insurance business: the firm’s principal is a licensed insurance agent who may receive compensation for insurance and annuity sales, a conflict the firm discloses and documents. The brochure also highlights that pension consulting was recently added, and discloses the principal’s other non‑advisory business activities (about twenty hours per week), which the firm says are conducted so as not to interfere with advisory responsibilities.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
Options & derivatives strategies
Private / alternative investments
Annuities
Fee options
Fixed fees for financial planning between $1,000 and $10,000
$1 - $500,000: 2.0% $501,000 - $1,000,000: 1.50% $1,000,001 - $10,000,000: 1.00% $10,000,001 - $25,000,000: 0.75% $25,000,001+: 0.50%
Between $100 and $200 per hour for financial planning services
Fee-only: Financial planning fixed fees between $1,000 and $10,000; hourly fees between $100 and $200
Main office location
Shepherd Advisor
Rancho Cucamonga CA, United States
Number of offices
1
Most active in
Shepherd Advisor has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
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