DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

SHAFFER CAPITAL

SHAFFER CAPITAL ADVISERS, LLC, CRD 150106

WESTERVILLE, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b660bcd4-d290-815a-005c-af74566ae564

Data as of May 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Feb 28, 2012 to May 26, 2026
15 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.67 fund_share=0.0 institutional_share=0.31 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $211MItem 5.F on the latest filing (2026-05-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $211M
Private client RAUM: $141MderivedItem 5.D individuals plus high net worth individuals
Private client share: 67%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $52.8Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 7
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 457
Individual clients: 157
High net worth clients: 31
SEC number: 801-119045
CRD: 150106
Filings on the tape: 15
First filed: Feb 28, 2012
Latest filed: May 26, 2026
Organised: Limited Liability Company, OH
Website: shaffercapital.net

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
MATTHEW EDWARD SHAFFER	Certified Financial Planner	WESTERVILLE, OH	17	30	1	no
William Edward Shaffer	n/a	WESTERVILLE, OH	1	10	n/a	no
Andrew Benjamin Shaffer	n/a	WESTERVILLE, OH	0	10	n/a	no
Alexander Matthew Shaffer	n/a	WESTERVILLE, OH	0	10	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
MATTHEW EDWARD SHAFFER TRUST, DATED JUNE 17, 2002, AS AMENDED	Member	E	yes	04/2009	Feb 28, 2012	Mar 12, 2024
SHAFFER, MATTHEW, EDWARD	Trustee	F	yes	04/2009	Feb 28, 2012	Mar 12, 2024
SHAFFER, MATTHEW, EDWARD	ELECTED MANAGER	F	yes	04/2009	Feb 28, 2012	Mar 12, 2024
SHAFFER, MATTHEW, EDWARD	ELECTED MANAGER AND CHIEF COMPLIANCE OFFICER	Na	yes	04/2009	Feb 28, 2012	Mar 12, 2024
SHAFFER CAPITAL WEALTH MANAGEMENT, LLC	Member	E	no	07/2014	Jun 12, 2020	Mar 12, 2024
SHAFFER CAPITAL, LLC	Member	E	no	07/2014	Feb 28, 2012	Mar 12, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
SHAFFER CAPITAL INSURANCE SERVICES, LLC	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 13, 2026	$211M	$211M	6	2	0	n/a	n/a
2024	Mar 6, 2025	$174M	$173M	6	1	0	n/a	n/a
2023	Mar 12, 2024	$152M	$151M	6	1	0	n/a	n/a
2022	Mar 31, 2023	$132M	$131M	6	2	0	n/a	n/a
2021	Mar 18, 2022	$125M	$124M	6	2	0	n/a	n/a
2020	Mar 15, 2021	$123M	$122M	5	1	0	n/a	n/a
2011	Mar 23, 2012	$36.2M	$25.8M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$211M	$174M	21.4%	$132M	17.0%	7	6	0	0

Relationships

Registered with (4)

← Andrew Benjamin ShafferAdvisorregistration: current employment
Apr 30, 2026 to presentfactForm ADV
← Alexander Matthew ShafferAdvisorregistration: current employment
Apr 30, 2026 to presentfactForm ADV
← William Edward ShafferAdvisorregistration: current employment
Mar 25, 2025 to presentfactForm ADV
← MATTHEW EDWARD SHAFFERAdvisorregistration: current employment
May 21, 2009 to presentfactForm ADV

Controls (2)

← SHAFFER, MATTHEW, EDWARDOwnerTRUSTEE, ownership code F, individual
Feb 28, 2012 to Mar 12, 2024factForm ADV
← MATTHEW EDWARD SHAFFER TRUST, DATED JUNE 17, 2002, AS AMENDEDOwnerMEMBER, ownership code E, domestic entity
Feb 28, 2012 to Mar 12, 2024factForm ADV

Owns (2)

← SHAFFER CAPITAL WEALTH MANAGEMENT, LLCOwnerMEMBER, ownership code E, domestic entity
Jun 12, 2020 to Mar 12, 2024factForm ADV
← SHAFFER CAPITAL, LLCOwnerMEMBER, ownership code E, domestic entity
Feb 28, 2012 to Mar 12, 2024factForm ADV

Dated events

Occurred
Jun 12, 2020
First Form ADV filing
Shaffer Capital filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b660bcd4-d290-815a-005c-af74566ae564
First observed: Feb 28, 2012
Last observed: May 26, 2026 3 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SHAFFER CAPITAL

SHAFFER CAPITAL ADVISERS, LLC, CRD 150106

WESTERVILLE, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b660bcd4-d290-815a-005c-af74566ae564

Data as of May 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:09 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MATTHEW EDWARD SHAFFER

Certified Financial Planner

WESTERVILLE, OH

William Edward Shaffer

n/a

WESTERVILLE, OH

n/a

Andrew Benjamin Shaffer

n/a

WESTERVILLE, OH

n/a

Alexander Matthew Shaffer

n/a

WESTERVILLE, OH

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MATTHEW EDWARD SHAFFER TRUST, DATED JUNE 17, 2002, AS AMENDED

Member

yes

04/2009

Feb 28, 2012

Mar 12, 2024

SHAFFER, MATTHEW, EDWARD

Trustee

yes

04/2009

Feb 28, 2012

Mar 12, 2024

SHAFFER, MATTHEW, EDWARD

ELECTED MANAGER

yes

04/2009

Feb 28, 2012

Mar 12, 2024

SHAFFER, MATTHEW, EDWARD

ELECTED MANAGER AND CHIEF COMPLIANCE OFFICER

yes

04/2009

Feb 28, 2012

Mar 12, 2024

SHAFFER CAPITAL WEALTH MANAGEMENT, LLC

Member

07/2014

Jun 12, 2020

Mar 12, 2024

SHAFFER CAPITAL, LLC

Member

07/2014

Feb 28, 2012

Mar 12, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SHAFFER CAPITAL INSURANCE SERVICES, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 13, 2026

$211M

n/a

2024

Mar 6, 2025

$174M

$173M

n/a

2023

Mar 12, 2024

$152M

$151M

n/a

2022

Mar 31, 2023

$132M

$131M

n/a

2021

Mar 18, 2022

$125M

$124M

n/a

2020

Mar 15, 2021

$123M

$122M

n/a

2011

Mar 23, 2012

$36.2M

$25.8M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$211M

$174M

21.4%

$132M

17.0%