Shepherd Financial Investment Advisory LLC
Registered investment adviser · Carmel, IN · CRD #288623
Form ADV data as of 2026-09-01Regulatory assets
$6.18 billion
Total accounts
3,041
Employees
45
Disclosure events
0
Firm details
- Website: https://www.youtube.com/@shepherdfinancial4352
- Telephone: 317-975-5033
- SEC file number: 801-112009
- Most recent Form ADV filing: 2026-03-31
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $1.62 billion |
| Non-discretionary regulatory assets under management | $4.56 billion |
| Total regulatory assets under management | $6.18 billion |
| Discretionary accounts | 2,812 |
| Non-discretionary accounts | 229 |
| Total accounts | 3,041 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 45 |
| Employees performing investment advisory functions (including research) | 31 |
| Employees who are registered representatives of a broker-dealer | 20 |
| Employees registered as investment adviser representatives with a state | 31 |
| Employees registered as IARs for another investment adviser | 20 |
| Employees who are licensed insurance agents | 11 |
| Firms or persons who solicit advisory clients on the firm's behalf | 1 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 1 |
How the firm is compensated
Advisory services offered
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends brokers or dealers to clients
- Compensates a non-employee for client referrals
- Provides employee compensation specifically for obtaining clients
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 705 | $148.8 million |
| High net worth individuals | 203 | $465.1 million |
| Pension and profit sharing plans (not the participants or government plans) | 336 | $5.56 billion |