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SCHAFFER & COMPANY ASSET MANAGEMENT, INC.

JACKSONVILLE, FL · CRD 138463 · IAPD ↗ · gregoryschaffer.com · 585-563-8626

$90.8MRegulatory AUM
1Advisory reps
1Employees
0Clients
1-10Planning clients
0Private funds
3States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
April 2026 — SCHAFFER & COMPANY ASSET MANAGEMENT, INC. moved its main office from ROCHESTER, NY to JACKSONVILLE, FL.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
50
April 2026 — SCHAFFER & COMPANY ASSET MANAGEMENT, INC. added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
60
April 2026 — SCHAFFER & COMPANY ASSET MANAGEMENT, INC. reported RAUM up 30% ($70.0M -> $90.8M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
40
April 2025 — SCHAFFER & COMPANY ASSET MANAGEMENT, INC. filed an Item 4A succession naming SCHAFFER & COMPANY ASSET MANAGEMENT, INC. (CRD 138463) — an entity change, not a deal.
Item 4A succession where the acquired firm is the same business (entity change, not a deal).
Integration & migration consultingCompliance
58
April 2025 — SCHAFFER & COMPANY ASSET MANAGEMENT, INC. reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
65
April 2025 — SCHAFFER & COMPANY ASSET MANAGEMENT, INC. now reports custody of client assets ($8.1M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
44
April 2024 — SCHAFFER & COMPANY ASSET MANAGEMENT, INC. notice-filed in FL, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.