SCHAFFER & COMPANY ASSET MANAGEMENT, INC.
Adviser information for SCHAFFER & COMPANY ASSET MANAGEMENT, INC. last updated from Form ADV on March 30th, 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 | New York, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| 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 | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 476 | $62.8M |
| Non-Discretionary | 0 | $0 |
| Total | 476 | $62.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 264 | $39.3M |
| HNW Individuals | 27 | $23.1M |
| 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 | 0 | $0 |
| 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 | 7 | $413,797 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-92168 |
|---|---|
| SEC ERA File Number | 801-92168 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 138463 |
| Legal Entity Identifier | None |
Principal Office
3205 MOUNT READ BLVD.ROCHESTER
NY
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: 585-621-3300, Fax: 585-621-3334
Chief Compliance Officer
DAVID M. COCUZZI
CHIEF COMPLIANCE OFFICER
3205 MOUNT READ BLVD
ROCHESTER
NY
United States
Tel:
585-621-3300
Fax:
585-621-3334
D*******@******************M
(Full email address available in API data)
Regulatory Contact
GREGORY LEE SCHAFFER
PRESIDENT
3205 MOUNT READ BLVD.
ROCHESTER
NY
United States
Tel:
585-621-3300
Fax:
585-621-3334
G********@******************M
(Full email address available in API data)
Industry Affiliates
| BEACON OF LIGHT FINANCIAL SERVICES, INC. | Accountant or accounting firmReal estate broker or dealer |
| BEACON OF LIGHT WEALTH PRESERVATION, INC. | Trust company |
| THE GREGORY L. SCHAFFER INSURANCE AGENCY, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SCHAFFER, GREGORY, LEE | Individual | – | PRESIDENT | 11/2005 | > 75% |
| COCUZZI, DAVID, M | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2015 | < 5% |