Thomas Fallon is a registered investment advisor at Shepherd Kaplan LLC, based in Boston, MA, with 3 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Estate Planning, Financial Planning & Coaching, High Net Worth, and 2 more.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Shepherd Kaplan's compensation is derived from a percentage of revenues collected for investment advisory services provided to its clients. Clients may also pay fees to custodians, broker-dealers, and investment managers. Clients with investments in private funds will normally be subject to management fees and other expenses of the private fund.
Location
53 State Street, 23rd Floor, Boston, MA, 02109-2820
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Shepherd Kaplan LLC
Previous Registrations
Vanguard Marketing CorporationBroker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.