# Aufman Associates Inc

> Aufman Associates Inc is an SEC-registered investment advisory firm in Sewickley, PA, registered since 1983, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 104622
- Filed as: AUFMAN ASSOCIATES INC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Sewickley, PA
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/104622
- AdvisorCensus page: https://advisorcensus.com/firm/aufman-associates-inc-sewickley-pa-104622

## Quick answers

**How is Aufman Associates Inc compensated?**
On its Form ADV (Item 5.E, October 2026), Aufman Associates Inc reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).

**Where is Aufman Associates Inc located?**
Aufman Associates Inc's principal office is in Sewickley, PA, according to its Form ADV.

**Is Aufman Associates Inc registered with the SEC or a state?**
Aufman Associates Inc is an SEC-registered investment advisory firm, registered since 1983. Status as filed: Approved. CRD 104622.

**How much does Aufman Associates Inc manage?**
Aufman Associates Inc reports $971,506,728 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**How have Aufman Associates Inc's assets and staff changed since 2021?**
In the Form ADV data for Aufman Associates Inc: Regulatory assets under management: $764,081,967 in the October 2021 data and $971,506,728 in the October 2026 data, up 27%. Total employees: 6 in October 2021 and 7 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Aufman Associates Inc serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (166); individuals (other than high net worth individuals) (79).

**Which custodians does Aufman Associates Inc use?**
Aufman Associates Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Aufman Associates Inc report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/104622

**What changed in Aufman Associates Inc's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $863,216,943 to $971,506,728 (+13%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 30, 2026)

- Minimum annual fee: $6,000

> Minimum annual fee for all services is $6,000.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $971,506,728
- Discretionary: $971,506,728
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 79 | $38,762,233 |
| High net worth individuals | 166 | $921,636,247 |
| Banking or thrift institutions | Fewer than 5 | $0 |
| Investment companies | Not reported | $0 |
| Business development companies | Not reported | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | Not reported | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $0 |
| Charitable organizations | Fewer than 5 | $11,108,248 |
| State or municipal government entities (including government pension plans) | Fewer than 5 | $0 |
| Other investment advisers | Fewer than 5 | $0 |
| Insurance companies | Fewer than 5 | $0 |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 | $0 |
| Corporations or other businesses not listed above | Fewer than 5 | $0 |
| Other | Not reported | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 1983 (43 years)
- Employees: 7 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, FL, GA, LA, MD, NC, NH, NJ, NY, OH, PA, SC, TX, VA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- aufmanassociates.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $764,081,967 | 6 | March 30, 2021 |
| October 2022 | $875,704,723 | 7 | March 30, 2022 |
| October 2023 | $716,062,957 | 7 | March 31, 2023 |
| October 2024 | $808,380,423 | 7 | September 17, 2024 |
| October 2025 | $863,216,943 | 7 | March 28, 2025 |
| October 2026 | $971,506,728 | 7 | March 30, 2026 |

Regulatory assets under management: $764,081,967 in the October 2021 data and $971,506,728 in the October 2026 data, up 27%.
Total employees: 6 in October 2021 and 7 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $863,216,943 to $971,506,728 (+13%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Aufman Associates Inc (CRD 104622): Form ADV filing data as of October 2026.