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Mark Shafer

Goodrich Asset Management LLC
41 Years of Experience
New Albany, OH
6 Disclosures
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Mark Shafer is a registered investment advisor at Goodrich Asset Management LLC, based in New Albany, OH, with 41 years of industry experience. Mark operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Education Planning, High Net Worth, Investment Management, and 1 more. Their firm serves 7 clients with $3.1M in assets under management.

Goodrich Asset Management LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1 advisor
Number of Clients
7 clients
Average Client Portfolio
$444K average
Assets Under Management
$3.1M

Fee Structure

Minimum Investment:$250K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $2.5M2.00%
$2.5M - $5.0M1.50%
$5M+1.25%

Fees are billed pro-rata quarterly in advance. Fees are generally not negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

New Albany, OH

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History

Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
June 2016
Judgment / Lien
June 2015
Judgment / Lien
June 2011
Regulatory
December 2010
Final
Customer Dispute
August 2008
Settled
Customer Dispute
May 2002
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Goodrich Asset Management LLC
November 2009 - Present · 16 yrs 11 mos
Previous Registrations
UBS Financial Services INC.Broker
August 2000 - May 2009 · 8 yrs 9 mos
UBS Financial Services INC.
August 2000 - May 2009 · 8 yrs 9 mos
J.C. Bradford & CO.Broker
November 1997 - August 2000 · 2 yrs 9 mos
Painewebber IncorporatedBroker
April 1988 - October 1997 · 9 yrs 6 mos
Shearson Lehman Hutton INC.Broker
February 1988 - May 1988 · 3 mos
E. F. Hutton & Company INCBroker
December 1984 - February 1988 · 3 yrs 2 mos
Corna & CO., INC.Broker
October 1984 - January 1985 · 3 mos
State Registrations1 state
OH
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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