Shaffer Capital
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$141,190,093
Clients
188
Advisors
4
of 7 employees
About
Shaffer Capital advises both individual and business clients, including employer-sponsored retirement plans, and works with both high-net-worth and non‑HNW individuals. Its services, described in the brochure, include comprehensive financial planning and consulting, discretionary investment management across firm‑branded portfolios, investment consulting, and retirement‑plan fiduciary and participant advisory services.
The firm’s investment process draws on fundamental, technical, cyclical, charting and quantitative analysis and applies modern portfolio theory to construct portfolios such as global asset allocation, equity‑income, core and growth equity, fixed‑income, balanced and custom allocations, with adjustments for taxable versus non‑taxable accounts. Shaffer Capital also offers tailored fixed‑income portfolios using individual bonds, private real estate and private investment/business cash‑flow modeling for planning, and model portfolios for ERISA plans (including 3(38) discretionary plan management and participant model options).
What distinguishes Shaffer Capital from many peers is its combination of several uncommon practices: the brochure discloses the firm may use hypothetical performance in marketing materials and that it provides educational seminars and one‑on‑one plan education (on‑site and online), including accepting sponsorships for such events. The firm manages about $211 million for roughly 188 clients with a small advisory team, has recently expanded its advisory staff, and documents a broad menu of plan fiduciary services and specialized planning offerings that are less common among supported firms.
Client services
Expertise
Occupation focus
Fee options
Investment Policy Statement (IPS) services and other non-fiduciary services at $300 per hour
Account minimum: $25,000 (minimum for Global Asset Allocation Portfolios) Minimum fee: Financial planning fees start at $500, increase based on complexity
Main office
550 Polaris Parkway, Suite 130
Westerville OH 43082
Advisors at this office
4
Most active in
Ohio · Texas
Also doing business as
Shaffer Capital · Shaffer Capital Advisers, LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Alexander S
Series 65
Westerville, OH
Shaffer Capital
Alexander Shaffer is a financial advisor with Shaffer Capital in Westerville, OH, holding a Series 65 designation. He has been with Shaffer Capital since 2020 and has additional experience working in educational roles at Ohio Northern University and local schools. Shaffer Capital serves individual and business clients, including employer-sponsored retirement plans, offering services such as financial planning, discretionary investment management, and retirement-plan advisory services. The firm utilizes a variety of analytical approaches and portfolio construction techniques, managing approximately $211 million for around 188 clients.
Andrew S
Series 65
Westerville, OH
Shaffer Capital
Andrew Shaffer is a financial advisor at Shaffer Capital in Westerville, OH. He holds a Series 65 designation and has been with Shaffer Capital for a total of six years, including his current role since 2026. His prior experience includes roles at Bowling Green State University, St. Francis DeSales High School, and St. Paul School. Shaffer Capital advises individual and business clients, including employer-sponsored retirement plans, serving both high-net-worth and non-HNW individuals. The firm utilizes a diversified investment approach incorporating fundamental, technical, cyclical, charting, and quantitative analysis alongside modern portfolio theory, and offers comprehensive financial planning, discretionary investment management, and specialized retirement-plan fiduciary services.
Matthew S
CFP®, Series 63, Series 65
Westerville, OH
Shaffer Capital
Matthew Shaffer is a CFP® with 24 years of industry experience and has been with Shaffer Capital since 2009. He holds Series 63 and Series 65 licenses and is based in Westerville, OH. Shaffer Capital advises individual and business clients, including employer-sponsored retirement plans, providing comprehensive financial planning, investment management, and consulting services. The firm manages discretionary portfolios across various strategies using mutual funds, ETFs, and individual securities, and offers educational seminars and plan education for sponsors and participants.
William S
Series 65
Westerville, OH
Shaffer Capital
William Shaffer is a financial advisor at Shaffer Capital with a Series 65 designation and nine years of experience in the industry. He worked at St. Francis DeSales High School for four years prior to his current role. Shaffer Capital serves both individual and business clients, including employer-sponsored retirement plans, providing comprehensive financial planning, discretionary investment management, and fiduciary advisory services. The firm employs a diverse investment approach incorporating fundamental, technical, cyclical, charting, and quantitative analysis, and offers customized portfolios and specialized retirement plan solutions.
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