Data / Investment advisers / Ohio / Shaffer Capital
Shaffer Capital, Westerville, OH: $211 million AUM, SEC registered investment adviser
Shaffer Capital is an SEC registered investment adviser with its main office in Westerville, Ohio and reports $211 million in regulatory assets under management in its Form ADV filed May 26, 2026. Its clients include high net worth individuals, pension and profit sharing plans and individuals. It is paid through a percentage of assets under management, hourly charges and fixed fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 150106
- SEC file number
- 801-119045
- SEC status
- Approved, effective July 13, 2020
- Legal name
- Shaffer Capital Advisers, LLC
- Main office
- 550 Polaris Parkway Suite 130, Westerville, OH 43082
- Phone
- (614) 891-1200
- Website
- shaffercapital.net
- Regulatory AUM
- $211,059,174 in the Form ADV filed May 26, 2026
- Discretionary AUM
- $211,059,174
- Accounts
- 457
- Employees
- 7, of which 4 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, hourly charges, fixed fees
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- May 26, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 31 | $105.7 million |
| Pension and profit sharing plans | 10 | $64.6 million |
| Individuals (other than high net worth individuals) | 157 | $35.5 million |
| Corporations or other businesses | 3 | $5.3 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $211.1 million | March 13, 2026 |
| December 1, 2025 | $173.8 million | September 8, 2025 |
Other advisers in Westerville
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Yarger Wealth Strategies, LLC | Westerville | $529.7 million | Not listed | adviserinfo.sec.gov |
| Swisher Financial Concepts, Inc. | Westerville | $317 million | Not listed | adviserinfo.sec.gov |
| Polaris Financial Partners, LLC | Westerville | $226 million | Not listed | adviserinfo.sec.gov |
| Retirement Plans, Inc. | Westerville | $224.9 million | Not listed | adviserinfo.sec.gov |
| Jericho Financial | Westerville | $220 million | Not listed | adviserinfo.sec.gov |
| Harding Financial Group | Westerville | $160.2 million | Not listed | adviserinfo.sec.gov |
| FC Wealth Solutions LLC | Westerville | $101 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Westerville, OH
- Investment advisers in Ohio
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving pension and profit sharing plans
- Shaffer Capital on the SEC's adviser search
Updated November 7, 2026. Read from the SEC's Form ADV data files for investment advisers. Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.