9AT: AUFMAN ASSOCIATES INC

AUFMAN ASSOCIATES INC

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)

Reported AUM

972M 833M 694M 555M 416M 278M 139M

2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Form ADV-E Surprise Examination Reports

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

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.