Shaffer Capital

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.

No. The firm constructs individually managed accounts tailored to each client's tax situation and liquidity requirements. There is no evidence in public filings of pooled investment vehicles, private funds, or in-house mutual funds — the firm delivers its equity and fixed-income strategies directly in client-brokerage accounts.

The firm maintains a listed office in Woodland Hills, California, extending its Midwestern base into the western San Fernando Valley. This likely reflects a client-service footprint built around executives or business owners with ties to both Ohio and Southern California, two regions with distinct tax-planning needs.

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.

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.

The firm's investment mandate emphasizes investment-grade credit, and given its Midwestern and California client base, municipal bonds likely feature for tax-sensitive accounts. Portfolio construction appears to prioritize after-tax outcomes and capital preservation rather than duration risk or credit speculation.

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.