9AT: AUFMAN ASSOCIATES INC

Adviser Profile

As of Date	03/30/2026
Registration	SEC, Approved, 06/21/1983
ADV Location	SEWICKLEY, PA, United States
Contact Info	724 xxxxxxx
Websites

AUM^*	971,506,728 20%
of that, discretionary	971,506,728 20%
Number of Employees	7
of those in investment advisory functions	3
Private Fund GAV^*	0
Avg Account Size	3,901,633 16%
% High Net Worth	63.36% 5%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Charitable organizations

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Accounting Firm Name	Filing Date	Form ADV-E
Accounting Firm Name DANNIBLE & MCKEE, LLP	Filing Date10/27/2025	Form ADV-E View Report
Accounting Firm Name DANNIBLE & MCKEE, LLP	Filing Date10/24/2024	Form ADV-E View Report
Accounting Firm Name DANNIBLE & MCKEE, LLP	Filing Date12/26/2023	Form ADV-E View Report
Accounting Firm Name DANNIBLE & MCKEE, LLP	Filing Date04/25/2023	Form ADV-E View Report

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser SKY-MOUNTAIN CAPITAL MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM210.6m	#Funds-
Adviser RSD ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM78.1m	#Funds-
Adviser CAPITAL ADVISORY GROUP, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM224.9m	#Funds-
Adviser C2C WEALTH MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM179.8m	#Funds-
Adviser ACT WEALTH MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM568.8m	#Funds-
Adviser 103 ADVISORY GROUP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM257.2m	#Funds-
Adviser DOVER INVESTMENT ADVISORY CORPORATION	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM135.4m	#Funds-
Adviser CONCERT INVESTMENT ADVISORY LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM91.1m	#Funds-
Adviser SHANKERVALLEAU WEALTH ADVISORS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM645.3m	#Funds-
Adviser CAPITAL OPTIONS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM154.6m	#Funds-

Brochure Summary

Overview

Aufman Associates Inc. has been offering personal financial counseling and investment advisory services to clients since the early 1970s, first as a division of a pension portfolio management firm, and since 1983, as an independent firm. We are owned solely by senior members of the firm. In addition to ongoing investment management, we provide advice on balance-sheet/asset management, income tax planning and coordination, cash-flow management, employee benefit programs (including insider regulations and other special issues), retirement planning, life insurance and estate planning, education planning, and family office services. We tailor our investment management services to the individual needs of each client, based on their risk tolerance, cash flow needs, tax circumstances, life expectancy, etc. Clients may impose restrictions on investing in certain securities or types of securities. As of December

31, 2023, regulatory assets under management (AUM) totaled approximately $808 million on a discretionary basis. Senior Management Edward B. Aufman, President since 2014, Chief Operations Officer since 2006 Born: 1976 Education: BS Industrial Management, Carnegie Mellon University, 1998 Holds the CERTIFIED FINANCIAL PLANNERTM certification Joined Aufman Associates in 1995 William J. Gaffey, Vice President since 2014, Chief Compliance Officer since 2004 Born: 1972 Education: BFA Industrial Design, Carnegie Mellon University, 1994 Holds the Chartered Financial Analyst® designation Joined Aufman Associates in 1997 Edward J. Aufman, Chairman since 2014 Born: 1945 Education: BS Business Management, University of Dayton, 1967 Founded Aufman & Associates in 1983 We use a team approach to provide the best advice we can and to ensure that each team member is properly supervised.

AUFMAN ASSOCIATES INC

AUFMAN ASSOCIATES INC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Form ADV-E Surprise Examination Reports

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Brochure Summary

Overview

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AUFMAN ASSOCIATES INC AUFMAN ASSOCIATES INC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Form ADV-E Surprise Examination Reports

Similar advisers

Brochure Summary

Overview

AUFMAN ASSOCIATES INC

AUFMAN ASSOCIATES INC