# Shaffer Capital

> 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.

- CRD: 150106
- Filed as: SHAFFER CAPITAL
- Legal name: Shaffer Capital Advisers, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Westerville, OH
- Filing period: October 2026
- Form ADV filing dated: May 26, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/150106
- AdvisorCensus page: https://advisorcensus.com/firm/shaffer-capital-westerville-oh-150106

## Quick answers

**How 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

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

### Fees and minimums (Form ADV Part 2A brochure dated May 26, 2026)

- Asset-based fee: 0.05% to 1% a year (a range, as the brochure states it)

> 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 brochure. Fees can differ by service and may be negotiable.

### Regulatory assets under management (Item 5.F)
- Total: $211,059,174
- Discretionary: $211,059,174
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 157 | $35,489,791 |
| High net worth individuals | 31 | $105,700,302 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 10 | $64,578,445 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 3 | $5,290,636 |
| Other | 0 | $0 |

### 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

### Firm details
- Registered since: 2020 (6 years)
- Employees: 7 total, 4 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: OH, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- shaffercapital.net

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $122,852,681 | 5 | March 15, 2021 |
| October 2022 | $124,839,482 | 6 | May 2, 2022 |
| October 2023 | $131,811,073 | 6 | March 31, 2023 |
| October 2024 | $151,745,533 | 6 | March 12, 2024 |
| October 2025 | $173,807,306 | 6 | June 27, 2025 |
| October 2026 | $211,059,174 | 7 | May 26, 2026 |

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.

## 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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Shaffer Capital (CRD 150106): Form ADV filing data as of October 2026.