J. L. Kaplan Associates, LLC (Boston)

J. L. Kaplan Associates, LLC is a large advisory firm based in Boston. It manages $312.3 million of regulatory assets for 169 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdictions of Arizona, California, Connecticut, and 18 other states.

J. L. Kaplan Associates provides portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

J. L. Kaplan Associates: assets under management

The assets under management (AUM) of J. L. Kaplan Associates, LLC is $312.3 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -88% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $312.3 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.85 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay J. L. Kaplan Associates, LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at J. L. Kaplan Associates, LLC

James Lawrence Kaplan has been acting as President since 1 May 1976. Jaime Utano joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
James Lawrence Kaplan	President	1 May 1976	Other	2378537
Eimco Trust (Mbt)	Member	1 Jan 2001	75% - 100%	52-2289758
Llc Evergreen Investment Management Co.	Shareholder	1 Nov 2002	75% - 100%	104594
Inc. Evergreen Investment Company	Shareholder	1 Nov 2002	75% - 100%	56-1997774
Eimco Trust (Mbt)	Shareholder	1 Nov 2002	75% - 100%	52-2289758
Na Wachovia Bank	Shareholder	1 Nov 2002	75% - 100%	22-1147033
Wachovia Corporation	Shareholder	1 Nov 2002	75% - 100%	56-0898180
William Douglas Munn	Director	1 Nov 2002	Other	1990843
Dennis Henry Ferro	Director	1 Nov 2002	Other	2477513
Michael Howard Koonce	Chief legal officer	1 Nov 2002	Other	2315714
Paul Weisman	Shareholder	1 Jan 2004	Other	4533179
Regina Barbara Wiedenski	Shareholder	1 Jan 2004	Other	1233065
Barbara Ann Lapple	Chief compliance officer	1 Oct 2004	Other	2047792
Paul Weisman	Officer	1 Feb 2006	Other	4533179
Matthew Charles Moss	Chief financial officer	1 Jun 2006	Other	4499363
Paul Weisman	President, chief investment officer	1 Nov 2007	Other	4533179
Jaime Utano	Chief compliance officer	1 Mar 2009	Other	4247983

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Wachovia Of Alabama	Shareholder	1 Jan 2005	75% - 100%	72-1375547
Wells Fargo & Company	Shareholder	1 Dec 2008	75% - 100%	41-0449260
Wachovia Corporation	Shareholder	1 Jan 2009	75% - 100%	26-3918610

Based in Boston

The principal office where J. L. Kaplan Associates, LLC performs its advisory services is located at 200 Berkeley Street, Boston, MA 02116, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 617-542-1655 or by fax 617-542-2239. The normal business hours are 9:00 a.m. to 5:00p.m. on Monday - Friday.