{"url":"https://nivawealth.com/firms/jaffe-asset-management-108082","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/108082","regulatoryAum":116219162,"crd":"108082","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"827555","suffix":null,"lastName":"JAFFE","firstName":"MARSHALL","middleName":"ROBERT"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"secFileNumber":"801-136067","legalName":"Jaffe Asset Management LLC","displayName":"Jaffe Asset Management","slug":"jaffe-asset-management-108082","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"9454 Wilshire BLVD, Ste M-1","city":"Beverly 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businesses","clients":null,"fewerThan5":true,"regulatoryAum":7051985}],"feePrograms":[{"role":"main","program":"Investment advisory fee","feeBasis":"whole_balance","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1032369","versionId":1032369,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-30","documentName":"JAFFE ASSET MANAGEMENT LLC ADV PART 2A & 2B (SEC INITIAL)","fee_rate_low":1,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T11:58:22.15212+00:00","documents":[{"name":"JAFFE ASSET MANAGEMENT LLC ADV PART 2A & 2B (SEC INITIAL)","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1032369","versionId":1032369,"submittedOn":"2026-03-30"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":116219162}],"custodyNote":"Jaffe Asset Management has custody of $42.6M in client assets for 27 clients.","otherCustodians":[],"leadership":[{"name":"Marshall Jaffe","title":"Manager/Chief Compliance Officer","crd":"827555"},{"name":"Ellie Kulman","title":"Member","crd":"4370584"}],"ownership":[{"label":"Marshall Jaffe","detail":"Manager/chief compliance officer in the 75% or more ownership band and a control person, since March 1998."},{"label":"Ellie Kulman","detail":"Member in the 5% to 10% ownership band, since March 1998."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"9454 Wilshire BLVD, Ste M-1","city":"Beverly Hills","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"310-858-0700","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":24},{"label":"U.S. government/agency bonds","percent":2},{"label":"U.S. state and local bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":52},{"label":"Cash and cash equivalents","percent":20}],"privateFunds":0},"sources":{"adv1FilingDate":"2 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/108082/PDF/108082.pdf","brochureDate":"30 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1032369","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Jaffe Asset Management have?","answer":"Jaffe Asset Management has 58 clients and manages $116 million for them, as of June 2026. They include 39 high-net-worth individuals and 19 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 2 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Jaffe Asset Management offer?","answer":"Jaffe Asset Management provides portfolio management for individuals and small businesses, portfolio management for institutions, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Jaffe Asset Management charge?","answer":"Jaffe Asset Management charges 1.00% a year for its Investment advisory fee. The whole portfolio is charged at the rate of its band. The fee is billed in advance and is negotiable.","source":"JAFFE ASSET MANAGEMENT LLC ADV PART 2A & 2B (SEC INITIAL), filed 30 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Jaffe Asset Management use?","answer":"Jaffe Asset Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $116M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 2 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Jaffe Asset Management have?","answer":"Jaffe Asset Management has 1 investment adviser representative registered with state securities authorities, out of 2 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Jaffe Asset Management invest in?","answer":"At the end of its last fiscal year, Jaffe Asset Management’s separately managed accounts held 52% registered funds (mutual funds, ETFs, BDCs), 24% exchange-traded equities, 20% cash and equivalents, 2% U.S. government and agency bonds and 2% state and local bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Jaffe Asset Management?","answer":"Jaffe Asset Management’s direct owners are Marshall Jaffe (75% or more) and Ellie Kulman (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 2 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Jaffe Asset Management get paid?","answer":"Jaffe Asset Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Jaffe Asset Management?","answer":"Jaffe Asset Management’s main office is at 9454 Wilshire BLVD, Ste M-1, Beverly Hills, CA 90212. Its phone number is 310-858-0700.","source":"Form ADV Part 1A, Item 1.F, filed 2 June 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}