{"url":"https://nivawealth.com/firms/shaffer-capital-advisers-150106","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/150106","regulatoryAum":211059174,"crd":"150106","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8259653","suffix":null,"lastName":"Shaffer","firstName":"Alexander","middleName":"Matthew"},{"crd":"8259626","suffix":null,"lastName":"Shaffer","firstName":"Andrew","middleName":"Benjamin"},{"crd":"2506433","suffix":null,"lastName":"SHAFFER","firstName":"MATTHEW","middleName":"EDWARD"},{"crd":"8025551","suffix":null,"lastName":"Shaffer","firstName":"William","middleName":"Edward"}],"total":4,"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"},"history":[{"filedOn":"2021-03-15","regulatoryAum":122852681,"clients":122,"employees":5,"offices":1},{"filedOn":"2022-05-02","regulatoryAum":124839482,"clients":141,"employees":6,"offices":1},{"filedOn":"2023-03-31","regulatoryAum":131811073,"clients":141,"employees":6,"offices":1},{"filedOn":"2024-03-12","regulatoryAum":151745533,"clients":180,"employees":6,"offices":1},{"filedOn":"2025-06-27","regulatoryAum":173807306,"clients":199,"employees":6,"offices":1},{"filedOn":"2026-05-26","regulatoryAum":211059174,"clients":201,"employees":7,"offices":1}],"secFileNumber":"801-119045","legalName":"Shaffer Capital Advisers, LLC","displayName":"Shaffer Capital Advisers","slug":"shaffer-capital-advisers-150106","website":"https://shaffercapital.net/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/150106/13d993947101cafe-r1.webp","tone":"dark","width":451,"height":200,"sourceUrl":"https://www.shaffercapital.net","sourceLabel":"Shaffer Capital, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Ohio limited liability company","fiscalYearEnd":"December","headquarters":{"street":"550 Polaris Parkway, Suite 130","city":"Westerville","state":"OH","stateName":"Ohio","country":"United States","postalCode":"43082"},"tradeNames":[],"registration":{"secApproved":"13 July 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":751011.1329787234,"staff":{"employees":7,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":1},"aum":{"regulatory":211059174,"discretionary":211059174,"discretionaryAccounts":457,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":157,"regulatoryAum":35489791},{"label":"High-net-worth individuals","clients":31,"regulatoryAum":105700302},{"label":"Pension and profit-sharing plans","clients":10,"regulatoryAum":64578445},{"label":"Corporations and other businesses","clients":3,"fewerThan5":true,"regulatoryAum":5290636}],"feePrograms":[{"role":"other","program":"Financial Planning and Monitoring","summary":"Financial plans start at $500 and rise with complexity; optional plan monitoring and maintenance is a monthly fee of 5% of the plan fee.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1046235","versionId":1046235,"submittedOn":"2026-05-26","documentName":"SHAFFER CAPITAL ADVISERS, LLC BROCHURE"},{"role":"other","program":"Investment Consulting","summary":"Investment consulting is a percentage of account assets, billed quarterly in advance, with annualized fees of 0.10% to 0.70%.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1046235","versionId":1046235,"submittedOn":"2026-05-26","documentName":"SHAFFER CAPITAL ADVISERS, LLC BROCHURE"},{"role":"other","program":"Retirement Plan Investment Services","summary":"Plan investment services are billed quarterly on plan assets at annualized fees of 0.025% to 0.25%, with participant advisory fees of $0 to $125 a year.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1046235","versionId":1046235,"submittedOn":"2026-05-26","documentName":"SHAFFER CAPITAL ADVISERS, LLC BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T13:56:06.301324+00:00","documents":[{"name":"SHAFFER CAPITAL ADVISERS, LLC BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1046235","versionId":1046235,"submittedOn":"2026-05-26"}]},"custodians":[],"custodyNote":"Shaffer Capital Advisers does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Matthew Shaffer","title":"Elected Manager and Chief Compliance Officer","crd":"2506433"}],"ownership":[{"label":"Shaffer Capital Wealth Management, LLC","detail":"Member in the 75% or more ownership band, since July 2014."},{"label":"Matthew Edward Shaffer Trust, Dated June 17, 2002, As Amended","detail":"Indirect owner: a member of Shaffer Capital, LLC in the 75% or more band and a control person, since April 2009.","parent":"Shaffer Capital, LLC"},{"label":"Matthew Shaffer","detail":"Indirect owner: trustee of Matthew Edward Shaffer Trust, Dated June 17, 2002, As Amended and a control person, since April 2009. Also elected manager of Shaffer Capital, LLC and a control person, since April 2009.","parent":"Matthew Edward Shaffer Trust, Dated June 17, 2002, As Amended"},{"label":"Shaffer Capital, LLC","detail":"Indirect owner: a member of Shaffer Capital Wealth Management, LLC in the 75% or more band, since July 2014.","parent":"Shaffer Capital Wealth Management, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Ohio","offices":1,"addresses":[{"street":"550 Polaris Parkway, Suite 130","city":"Westerville","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"614-891-1200","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["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"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":100}],"privateFunds":0},"sources":{"adv1FilingDate":"26 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/150106/PDF/150106.pdf","brochureDate":"26 May 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1046235","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 Shaffer Capital Advisers have?","answer":"Shaffer Capital Advisers has 201 clients and manages $211 million for them, as of May 2026. They include 157 individual clients, 31 high-net-worth individuals, and 10 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Shaffer Capital Advisers offer?","answer":"Shaffer Capital Advisers provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Shaffer Capital Advisers have?","answer":"Shaffer Capital Advisers has 4 investment adviser representatives registered with state securities authorities, out of 7 employees, and 4 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 Shaffer Capital Advisers invest in?","answer":"At the end of its last fiscal year, Shaffer Capital Advisers’ separately managed accounts held 100% exchange-traded equities.","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 Shaffer Capital Advisers?","answer":"Shaffer Capital Advisers’ direct owner is Shaffer Capital Wealth Management, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 26 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Shaffer Capital Advisers get paid?","answer":"Shaffer Capital Advisers is paid through a percentage of assets under management, hourly charges and fixed fees. 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 Shaffer Capital Advisers?","answer":"Shaffer Capital Advisers’ main office is at 550 Polaris Parkway, Suite 130, Westerville, OH 43082. Its phone number is 614-891-1200. Its website is shaffercapital.net.","source":"Form ADV Part 1A, Item 1.F, filed 26 May 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."}