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AUFMAN ASSOCIATES INC
CRD 104622File 801-19122
APPROVED
Retail clients
Custody
Filing as of Mar 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$971.5M
Above cohort median (national)
Discretionary AUM
$971.5M
Clients
245
249 accounts
Employees
7
Above cohort median in PA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- PLRO
- Registration date
- Jun 21, 1983
- Principal office
- 2200 GEORGETOWN DRIVE, SUITE 401, SEWICKLEY, PA, 15143
- Phone
- 724-934-5600
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $971.5M
- Discretionary AUM
- $971.5M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 249
- Non-discretionary accounts
- 0
- Total accounts
- 249
- AUM per client
- $4.0M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $0 |
| Non-U.S. persons | Fewer than 5 | $0 |
| Insurance companies | Fewer than 5 | $0 |
| Charitable organizations | Fewer than 5 | $11.1M |
| Other investment advisers | Fewer than 5 | $0 |
| High net worth individuals | 166 | $921.6M |
| Banking or thrift institutions | Fewer than 5 | $0 |
| Pension and profit sharing plans | Fewer than 5 | $0 |
| State or municipal government entities | Fewer than 5 | $0 |
| Individuals (other than high net worth individuals) | 79 | $38.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | AUM | $863,216,943 | $971,506,728 | increased by$108,289,785 |
| Apr 1, 2026 | Accounts | 248 | 249 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 238 | 245 | increased by7 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $875,704,723 | $863,216,943 | decreased by$12,487,780 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 243 | 248 | increased by5 |
| Apr 1, 2022 | Employees | 6 | 7 | increased by1 |
| Apr 1, 2022 | Clients | 215 | 238 | increased by23 |
| Apr 1, 2022 | AUM | $764,081,967 | $875,704,723 | increased by$111,622,756 |
| Apr 1, 2022 | Accounts | 220 | 243 | increased by23 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “AUFMAN ASSOCIATES” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“AUFMAN ASSOCIATES” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.