S
Shaffer Asset Management, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$2,865,960
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
13
38% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
13
LowAverage account size
$220,458
About
Shaffer Asset Management is a fee-only, state-registered independent advisory firm operated by a single advisor that provides discretionary portfolio management primarily to individual clients and also to trusts, pension plans, charitable organizations and corporations. The firm manages a small, concentrated client base through an Investment Supervisory Services program that uses an equity portfolio designed for absolute return.
The firm’s Absolute Investment Strategies Program pursues outright positive returns irrespective of market direction and is implemented on a discretionary basis; management is guided by charting and technical analysis, fundamental and cyclical analysis, and economic and policy considerations. Portfolios are run to the program’s goal rather than customized around individual holdings, and the firm employs both long- and short-term trading tactics as part of its implementation.
What distinguishes this firm from many peers is its acceptance of corporate and other business clients in a solo-practitioner, fee-only model and its active trading orientation, including the use of block trades and exclusive custody with a single broker-dealer. The firm does not accept commissions or soft-dollar benefits and keeps a compact practice focused on a specific absolute-return equity approach.
Client services
Portfolio management
Speaker
Expertise
Active portfolio management
Concentrated stock management
Fee options
2.00% annually
Account minimum: $100,000.00 Fee-only: Strictly fee-only financial advisory firm, no commissions accepted
Main office location
Shaffer Asset Management, Inc.
Greenwich CT, United States
Number of offices
1
Most active in
Shaffer Asset Management, Inc. has reported serving >5 clients in these states in the last 12 months.
Connecticut
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
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.
Forms ADV
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