{"url":"https://nivawealth.com/firms/shepherd-wealth-management-limited-liability-312695","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/312695","regulatoryAum":162081052,"crd":"312695","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"3262336","suffix":null,"lastName":"ALBRIGHT","firstName":"JEFFREY","middleName":"RAY"},{"crd":"4994425","suffix":null,"lastName":"ASHCROFT","firstName":"JOHN","middleName":"EUGENE"},{"crd":"5944284","suffix":null,"lastName":"GARLAND","firstName":"JOSHUA","middleName":"CASEY"},{"crd":"6122121","suffix":null,"lastName":"Jackson","firstName":"Brady","middleName":null}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-03-03","regulatoryAum":113601753,"clients":111,"employees":2,"offices":2},{"filedOn":"2026-02-18","regulatoryAum":162081052,"clients":430,"employees":4,"offices":2}],"secFileNumber":"801-131565","legalName":"Shepherd Wealth Management Limited Liability Company","displayName":"Shepherd Wealth Management Limited Liability","slug":"shepherd-wealth-management-limited-liability-312695","website":"https://shepherdwm.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Ohio limited liability company","fiscalYearEnd":"December","headquarters":{"street":"3181 Linwood Ave., Suite 20","city":"Cincinnati","state":"OH","stateName":"Ohio","country":"United States","postalCode":"45208"},"tradeNames":[],"registration":{"secApproved":"2 December 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":376932.6790697674,"staff":{"employees":4,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":1},"aum":{"regulatory":162081052,"discretionary":162081052,"discretionaryAccounts":430,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":387,"regulatoryAum":63413829},{"label":"High-net-worth individuals","clients":43,"regulatoryAum":98667223}],"feePrograms":[{"role":"main","program":"Investment Management & Financial Planning Services","feeBasis":"whole_balance","fee_tiers":[{"to":250000,"pct":1.5,"from":0},{"to":500000,"pct":1.25,"from":250000},{"to":null,"pct":1,"from":500000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1061501","versionId":1061501,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-10-19","documentName":"SWM ADV PART 2A","fee_rate_low":1,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":100000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Retirement Plan Consulting","summary":"Retirement plan consulting is a blended annual fee on plan assets, from 1.00% down to 0.20%, not to exceed 1% of total plan assets, paid quarterly in arrears.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1061501","versionId":1061501,"submittedOn":"2026-10-19","documentName":"SWM ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T16:53:37.116507+00:00","documents":[{"name":"SWM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1061501","versionId":1061501,"submittedOn":"2026-10-19"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":162081052}],"custodyNote":"Shepherd Wealth Management Limited Liability does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"John Ashcroft","title":"President","crd":"4994425"},{"name":"Joshua Garland","title":"Owner and CCO","crd":"5944284"}],"ownership":[{"label":"Joshua Garland","detail":"Owner and cco in the 75% or more ownership band and a control person, since January 2021."},{"label":"John Ashcroft","detail":"President in the 25% to 50% ownership band and a control person, since January 2023."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Ohio","offices":1,"addresses":[{"street":"3181 Linwood Ave., Suite 20","city":"Cincinnati","headquarters":true}]},{"state":"Pennsylvania","offices":1,"addresses":[{"street":"27-31 E. 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They include 387 individual clients and 43 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 18 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Shepherd Wealth Management Limited Liability offer?","answer":"Shepherd Wealth Management Limited Liability provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Shepherd Wealth Management Limited Liability charge?","answer":"Shepherd Wealth Management Limited Liability charges 1.00%–1.50% a year for its Investment Management & Financial Planning Services. The whole portfolio is charged at the rate of its band. The fee is billed in arrears, is negotiable and requires an account of at least $100,000.","source":"SWM ADV PART 2A, filed 19 October 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Shepherd Wealth Management Limited Liability use?","answer":"Shepherd Wealth Management Limited Liability’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $162M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 18 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Shepherd Wealth Management Limited Liability have?","answer":"Shepherd Wealth Management Limited Liability has 4 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Shepherd Wealth Management Limited Liability invest in?","answer":"At the end of its last fiscal year, Shepherd Wealth Management Limited Liability’s separately managed accounts held 93% exchange-traded equities and 7% non-exchange-traded equities.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Shepherd Wealth Management Limited Liability have a minimum investment?","answer":"Yes, Shepherd Wealth Management Limited Liability’s minimum account size for its Investment Management & Financial Planning Services is $100K.","source":"SWM ADV PART 2A, filed 19 October 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Shepherd Wealth Management Limited Liability?","answer":"Shepherd Wealth Management Limited Liability’s direct owners are Joshua Garland (75% or more) and John Ashcroft (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 18 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Shepherd Wealth Management Limited Liability get paid?","answer":"Shepherd Wealth Management Limited Liability is paid through a percentage of assets under management and fixed fees. 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Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}