AdvisorCensus / Financial advisors / Ohio / Columbus / Shaffer Capital
Shaffer Capital
Filed as SHAFFER CAPITAL · Legal name Shaffer Capital Advisers, LLC
Shaffer Capital is an SEC-registered investment advisory firm in Westerville, OH, registered since 2020, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated May 26, 2026.
Quick answers
From the filingHow is Shaffer Capital compensated?
On its Form ADV (Item 5.E, October 2026), Shaffer Capital reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).
What does Shaffer Capital's brochure say about its fees?
Its Form ADV Part 2A brochure dated May 26, 2026 states: Asset-based fee: 0.05% to 1% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Shaffer Capital located?
Shaffer Capital's principal office is in Westerville, OH, according to its Form ADV.
Is Shaffer Capital registered with the SEC or a state?
Shaffer Capital is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 150106.
How much does Shaffer Capital manage?
Shaffer Capital reports $211,059,174 in regulatory assets under management in its Form ADV filing dated May 26, 2026 (100% discretionary).
How have Shaffer Capital's assets and staff changed since 2021?
In the Form ADV data for Shaffer Capital: Regulatory assets under management: $122,852,681 in the October 2021 data and $211,059,174 in the October 2026 data, up 72%. Total employees: 5 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 Shaffer Capital serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (157); high net worth individuals (31); pension and profit sharing plans (but not the plan participants or government pension plans) (10).
Does Shaffer Capital 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/150106
What changed in Shaffer Capital's recent Form ADV filings?
In the June 2026 filing data: Employees performing advisory functions went from 2 to 4.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAsset-based fee: 0.05% to 1% a year (a range, as the brochure states it)
The brochure's wording
SC’s fees for investment management services may be higher or lower than comparable services offered elsewhere. SC reserves the right to offset or waive fees or a portion thereof. Annualized fees range from 0.05% to 1.00% of Account assets.
As stated in the firm's Form ADV Part 2A brochure dated May 26, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$211,059,174 as of October 2026, filing dated May 26, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
Registration and firm details
Items 1, 2, 5- Legal name
- Shaffer Capital Advisers, LLC
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2020 (6 years)
- Employees
- Total: 7. Performing investment advisory functions: 4.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
2 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $211,059,174 | 7 | May 26, 2026 |
| October 2025 | $173,807,306 | 6 | June 27, 2025 |
| October 2024 | $151,745,533 | 6 | March 12, 2024 |
| October 2023 | $131,811,073 | 6 | March 31, 2023 |
| October 2022 | $124,839,482 | 6 | May 2, 2022 |
| October 2021 | $122,852,681 | 5 | March 15, 2021 |
Regulatory assets under management: $122,852,681 in the October 2021 data and $211,059,174 in the October 2026 data, up 72%.
Total employees: 5 in October 2021 and 7 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- June 2026
- Employees performing advisory functions went from 2 to 4.
- April 2026
- Regulatory assets under management went from $173,807,306 to $211,059,174 (+21%).
- December 2025
- Employees performing advisory functions went from 1 to 2.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Shaffer Capital (CRD 150106): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/shaffer-capital-westerville-oh-150106