AUFMAN ASSOCIATES INC
Adviser information for AUFMAN ASSOCIATES INC last updated from Form ADV on March 27th, 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 | Corporation |
---|---|
Fiscal Year End | DECEMBER |
Legal Location | Pennsylvania, United States |
Employees
Total Number of Employees | 7 |
---|---|
Investment Advisory/Research | 3 |
Registered Broker-Dealer Representatives | 0 |
Registered State Investment Advisers | 3 |
Licensed Agents of an Insurance Company | 0 |
No. of Firms/People that Solicit Clients | 0 |
RAUM
Provides Management of Securities Portfolios | Yes |
---|
Type | Accounts | RAUM |
---|---|---|
Discretionary | 240 | $808.4M |
Non-Discretionary | 0 | $0 |
Total | 240 | $808.4M |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 83 | $40.5M |
HNW Individuals | 154 | $758.4M |
Banking or thrift institutions | <5 | $0 |
Investment companies | 0 | $0 |
Business development companies | 0 | $0 |
Pooled investment vehicles | 0 | $0 |
Pension and profit sharing plans | <5 | $0 |
Charitable organizations | <5 | $9.6M |
State or municipal gov entities | <5 | $0 |
Other investment advisers | <5 | $0 |
Insurance companies | <5 | $0 |
Sovereign wealth funds and foreign official institutions | <5 | $0 |
Corporations or other businesses | <5 | $0 |
Other | 0 | $0 |
Type | Number |
---|---|
No. of Non-RAUM Clients | 0 |
No. of Non-U.S. Clients | 0 |
No. of Financial Planning Clients | 101-250 |
Services
Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
---|---|
Compensation | % of AUMFixed fees |
Principal Office
2200 GEORGETOWN DRIVESUITE 401
SEWICKLEY
PA
United States
Monday - Friday, 8:30 AM TO 5:00 P.M.
Tel: 724-934-5600, Fax: 724-934-5622
Websites
Chief Compliance Officer
WILLIAM J. GAFFEY
2200 GEORGETOWN DRIVE
SUITE 401
SEWICKLEY
PA
United States
Tel:
724-934-5600
Fax:
724-934-5622
G*****@*********T
(Full email address available in API data)
Regulatory Contact
SMITH, MARY ANN
ACCOUNTING ADM
2200 GEORGETOWN DRIVE
SUITE 401
SEWICKLEY
PA
United States
Tel:
(724)934-5616
Fax:
(724)934-5622
M******@*********T
(Full email address available in API data)
Industry Affiliates
None |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
---|
None
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
AUFMAN, EDWARD, J | Individual | – | CHAIRMAN | 01/2014 | 10-25% |
GAFFEY, WILLIAM, J | Individual | – | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 01/2014 | 25-50% |
AUFMAN, EDWARD, B | Individual | – | PRESIDENT | 01/2014 | 50-75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 9th, 2024 for period ending June 30th, 2024
Name | Class | Value $USD | # Shares | Private Fund |
---|---|---|---|---|
Amazon.com | Stock | 274K | 1K | 0 |
Johnson & Johnson | Stock | 416K | 3K | 0 |
Seagate Technology Holdings | Stock | 10M | 98K | 0 |
Vanguard Total Stock Market ETF | ETF | 553K | 2K | 0 |
Coca-Cola | Stock | 248K | 4K | 0 |
Paychex | Stock | 279K | 2K | 0 |
iShares ESG Aware MSCI EAFE ETF | ETF | 524K | 7K | 0 |
SPDR S&P 500 Index ETF | ETF | 800K | 1K | 0 |
SPDR MSCI EAFE Fossil Fuel Free ETF | ETF | 272K | 7K | 0 |
iShares Core S&P Small-Cap Index ETF | ETF | 413K | 4K | 0 |
Berkshire Hathaway Cl B | Stock | 3M | 8K | 0 |
Alphabet Cl A | Stock | 330K | 2K | 0 |
Microsoft | Stock | 1M | 2K | 0 |
iShares ESG Aware MSCI USA Small-Cap ETF | ETF | 717K | 19K | 0 |
Vanguard Small-Cap Index ETF | ETF | 33M | 149K | 0 |
Vanguard Mid-Cap Index ETF | ETF | 684K | 3K | 0 |
Moderna | Stock | 773K | 7K | 0 |
Vanguard 500 Index ETF | ETF | 34M | 68K | 0 |
Vanguard Total Int'l Stock Index ETF | ETF | 839K | 14K | 0 |
PPL | Stock | 272K | 10K | 0 |
Alto Ingredients | Stock | 279K | 193K | 0 |
iShares ESG Advanced MSCI USA ETF | ETF | 632K | 14K | 0 |
Vanguard Mid-Cap Growth Index ETF | ETF | 6M | 27K | 0 |
Forian | Stock | 140K | 53K | 0 |
Vanguard Growth Index ETF | ETF | 212K | 567 | 0 |
AbbVie | Stock | 422K | 2K | 0 |
Vanguard FTSE All-World ex US Index ETF | ETF | 3M | 55K | 0 |
Schwab Fundamental US Large Company Index ETF | ETF | 301K | 5K | 0 |
iShares S&P 500 Growth Index ETF | ETF | 226K | 2K | 0 |
iShares Core S&P 500 Index ETF | ETF | 4M | 7K | 0 |
Chevron | Stock | 273K | 2K | 0 |
ConocoPhillips | Stock | 310K | 3K | 0 |
Vanguard Developed Markets Index ETF | ETF | 23M | 473K | 0 |
Revvity | Stock | 2M | 16K | 0 |
Alphabet Cl C | Stock | 2M | 9K | 0 |
Minerals Technologies | Stock | 3M | 35K | 0 |
SPDR DoubleLine Total Return Tactical ETF | ETF | 281K | 7K | 0 |
Exxon Mobil | Stock | 839K | 7K | 0 |
UnitedHealth Group | Stock | 322K | 632 | 0 |
Crown Castle | REIT | 2M | 21K | 0 |
iShares Core S&P Mid-Cap Index ETF | ETF | 295K | 5K | 0 |
iShares Global Clean Energy ETF | ETF | 134K | 10K | 0 |
Apple | Stock | 2M | 8K | 0 |
Abbott Laboratories | Stock | 317K | 3K | 0 |
The Walt Disney Company | Stock | 353K | 4K | 0 |
Fidelity NASDAQ Composite Index ETF | ETF | 527K | 8K | 0 |