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Shaffer Capital
Shaffer Capital is an SEC-registered investment adviser in Westerville, OH, registered since 2020. The firm manages approximately $211 million in regulatory...
Shaffer Capital
Shaffer Capital is an SEC-registered investment adviser in Westerville, OH, registered since 2020. The firm manages approximately $211 million in regulatory assets. It has 7 employees and 4 investment advisers.
General information
Firm type
Asset Manager
Year founded
2020
Location
Region
North America
Country
United States
City
Westerville
Corporate office
Westerville, OH, United States
Frequently asked questions
How is Shaffer Capital compensated?
Shaffer Capital operates on a fee-only basis, charging asset-based advisory fees directly to clients. SEC filings indicate no commission-based business or proprietary product sales, which removes revenue conflicts embedded in broker-dealer or dual-registrant models. The fee schedule is disclosed to clients via Form ADV Part 2.
Is Shaffer Capital affiliated with Shaffer Asset Management or similarly named firms?
There is no public connection to Shaffer Asset Management or other Shaffer-named advisory entities. Shaffer Capital's SEC registration is specific to its Westerville-headquartered RIA, with no disclosed parent company or affiliate relationships.
Does the firm allocate to private markets or alternatives?
Public records indicate the firm focuses on publicly traded equities and fixed-income securities. No filings reference private equity commitments, venture capital, hedge fund allocations, or direct real estate investment programs, making this a traditional long-only public-markets practice.
What does Shaffer Capital's regulatory record indicate about its operating history?
The firm's SEC registration as a Registered Investment Adviser reflects ongoing compliance with reporting and fiduciary obligations. Public FINRA BrokerCheck and SEC records show no material disciplinary events, which for a boutique RIA signals a clean compliance history over its operating life.
Profile maintained by Altss using OSINT (open-source intelligence), regulatory filings, licensed data partners, and verified direct submissions. Read the methodology. Last updated: . Continuous refresh with full update cycles at least every 30 days.
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