J. L. KAPLAN ASSOCIATES, LLC
CRD #104669 SEC #801-11802 BOSTON, MA 617-542-1655
SEC Registered
Total AUM
$3.1B
Discretionary
$2.7B
Employees
--
Clients
--
Accounts
685
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 30, 2007
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| FERRO, DENNIS, HENRY | I | DIRECTOR | NA | Control |
| FERRO, DENNIS, HENRY | I | DIRECTOR | NA | Control |
| FERRO, DENNIS, HENRY | I | DIRECTOR | NA | Control |
| KAPLAN, JAMES, LAWRENCE | I | PRESIDENT | NA | Control |
| KAPLAN, JAMES, LAWRENCE | I | PRESIDENT | NA | Control |
| KAPLAN, JAMES, LAWRENCE | I | PRESIDENT | NA | Control |
| KAPLAN, JAMES, LAWRENCE | I | PRESIDENT | NA | Control |
| KOONCE, MICHAEL, HOWARD | I | CHIEF LEGAL OFFICER | NA | |
| KOONCE, MICHAEL, HOWARD | I | CHIEF LEGAL OFFICER | NA | Control |
| KOONCE, MICHAEL, HOWARD | I | CHIEF LEGAL OFFICER | NA | Control |
| KOONCE, MICHAEL, HOWARD | I | CHIEF LEGAL OFFICER | NA | Control |
| KOONCE, MICHAEL, HOWARD | I | CHIEF LEGAL OFFICER | NA | |
| KOONCE, MICHAEL, HOWARD | I | CHIEF LEGAL OFFICER | NA | |
| KOONCE, MICHAEL, HOWARD | I | CHIEF LEGAL OFFICER | NA | Control |
| LAPPLE, BARBARA, ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| LAPPLE, BARBARA, ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| LAPPLE, BARBARA, ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| LAPPLE, BARBARA, ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| LAPPLE, BARBARA, ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| LAPPLE, BARBARA, ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MOSS, MATTHEW, CHARLES | I | CHIEF FINANCIAL OFFICER | NA | |
| MOSS, MATTHEW, CHARLES | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MOSS, MATTHEW, CHARLES | I | CHIEF FINANCIAL OFFICER | NA | |
| MOSS, MATTHEW, CHARLES | I | CHIEF FINANCIAL OFFICER | NA | |
| MUNN, WILLIAM, DOUGLAS | I | DIRECTOR | NA | Control |
| MUNN, WILLIAM, DOUGLAS | I | DIRECTOR | NA | Control |
| MUNN, WILLIAM, DOUGLAS | I | DIRECTOR | NA | Control |
| UTANO, JAIME | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WEISMAN, PAUL | I | PRESIDENT, CHIEF INVESTMENT OFFICER | NA | Control |
| WEISMAN, PAUL | I | PRESIDENT, CHIEF INVESTMENT OFFICER | NA | Control |
| WEISMAN, PAUL | I | PRESIDENT, CHIEF INVESTMENT OFFICER | NA | Control |
| WIEDENSKI, REGINA, BARBARA | I | SHAREHOLDER | NA | |
| WIEDENSKI, REGINA, BARBARA | I | SHAREHOLDER | NA | |
| WIEDENSKI, REGINA, BARBARA | I | SHAREHOLDER | NA | |
| EIMCO TRUST (MBT) | DE | MEMBER | E | Control |
| EIMCO TRUST (MBT) | DE | MEMBER | E | Control |
| EIMCO TRUST (MBT) | DE | MEMBER | E | Control |
| EIMCO TRUST (MBT) | DE | MEMBER | E | Control |
| WEISMAN, PAUL | I | SHAREHOLDER | A | |
| WEISMAN, PAUL | I | SHAREHOLDER | A | |
| WEISMAN, PAUL | I | SHAREHOLDER | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| EVERGREEN INVESTMENT COMPANY, INC. | DE | EIMCO TRUST | E | |
| EVERGREEN INVESTMENT COMPANY, INC. | DE | EIMCO TRUST | E | Control |
| EVERGREEN INVESTMENT COMPANY, INC. | DE | J. L. KAPLAN ASSOCIATES, LLC | E | |
| EVERGREEN INVESTMENT COMPANY, INC. | DE | J. L. KAPLAN ASSOCIATES, LLC | E | |
| EVERGREEN INVESTMENT COMPANY, INC. | DE | EIMCO TRUST | E | |
| EVERGREEN INVESTMENT COMPANY, INC. | DE | EIMCO TRUST | E | |
| EVERGREEN INVESTMENT COMPANY, INC. | DE | J. L. KAPLAN ASSOCIATES, LLC | E | |
| WACHOVIA BANK, NA | DE | EVERGREEN INVESTMENT COMPANY, INC. | E | |
| WACHOVIA BANK, NA | DE | EVERGREEN INVESTMENT COMPANY, INC. | E | Control |
| WACHOVIA BANK, NA | DE | J. L. KAPLAN ASSOCIATES, LLC | E | |
| WACHOVIA BANK, NA | DE | J. L. KAPLAN ASSOCIATES, LLC | E | |
| WACHOVIA BANK, NA | DE | EVERGREEN INVESTMENT COMPANY, INC. | E | |
| WACHOVIA BANK, NA | DE | EVERGREEN INVESTMENT COMPANY, INC. | E | |
| WACHOVIA BANK, NA | DE | J. L. KAPLAN ASSOCIATES, LLC | E | |
| WACHOVIA CORPORATION | DE | WACHOVIA BANK, NA | E | Control |
| WACHOVIA CORPORATION | DE | WACHOVIA BANK, NA | E | Control |
| WACHOVIA CORPORATION | DE | J. L. KAPLAN ASSOCIATES, LLC | E | Control |
| WACHOVIA CORPORATION | DE | J. L. KAPLAN ASSOCIATES, LLC | E | Control |
| WACHOVIA CORPORATION | DE | WACHOVIA BANK, NA | E | Control |
| WACHOVIA CORPORATION | DE | WACHOVIA BANK, NA | E | Control |
| WACHOVIA CORPORATION | DE | J. L. KAPLAN ASSOCIATES, LLC | E | Control |
| WACHOVIA OF ALABAMA, INC. | DE | J. L. KAPLAN ASSOCIATES, LLC | E | |
| WACHOVIA OF ALABAMA, INC. | DE | J. L. KAPLAN ASSOCIATES, LLC | E | |
| WELLS FARGO & COMPANY | DE | WACHOVIA CORPORATION | E | Control |
Registrations
Federal
IA
Mar 30, 2007 REGISTERED
Notice Filings (30)
AZ CA CO CT DC FL GA IL IN MA MD ME MI MN NC NH NJ NM NY OH OK PA RI SC TN TX VA VT WA WI
Address
200 BERKELEY STREETBOSTON, MA 2116
USA
Phone: 617-542-1655