SHAFFER CAPITAL
SHAFFER CAPITAL ADVISERS, LLC Legal Name
Adviser information for SHAFFER CAPITAL last updated from Form ADV on March 12th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Ohio, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 422 | $150.8M |
| Non-Discretionary | 19 | $904,250 |
| Total | 441 | $151.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 166 | $77.3M |
| HNW Individuals | <5 | $28.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 10 | $41.9M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $4.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-119045 |
|---|---|
| SEC ERA File Number | 801-119045 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 150106 |
| Legal Entity Identifier | None |
Principal Office
550 POLARIS PARKWAYSUITE 130
WESTERVILLE
OH
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 614-891-1200, Fax: 614-891-7360
Websites
Chief Compliance Officer
MATTHEW E. SHAFFER
CEO & CIO
550 POLARIS PARKWAY
SUITE 130
WESTERVILLE
OH
United States
Tel:
614-891-1700
Fax:
614-891-7360
M*******@*****************T
(Full email address available in API data)
Industry Affiliates
| SHAFFER CAPITAL INSURANCE SERVICES, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SHAFFER, MATTHEW, EDWARD | Individual | – | ELECTED MANAGER AND CHIEF COMPLIANCE OFFICER | 04/2009 | < 5% |
| MATTHEW EDWARD SHAFFER TRUST, DATED JUNE 17, 2002, AS AMENDED | Domestic Entity | SHAFFER CAPITAL, LLC | MEMBER | 04/2009 | > 75% |
| SHAFFER, MATTHEW, EDWARD | Individual | MATTHEW EDWARD SHAFFER TRUST, DATED JUNE 17, 2002, AS AMENDED | TRUSTEE | 04/2009 | |
| SHAFFER, MATTHEW, EDWARD | Individual | SHAFFER CAPITAL, LLC | ELECTED MANAGER | 04/2009 | |
| SHAFFER CAPITAL WEALTH MANAGEMENT, LLC | Domestic Entity | – | MEMBER | 07/2014 | > 75% |
| SHAFFER CAPITAL, LLC | Domestic Entity | SHAFFER CAPITAL WEALTH MANAGEMENT, LLC | MEMBER | 07/2014 | > 75% |