PROFESSIONAL FINANCIAL

RIASEC RegisteredEst. 2016

Total AUM

$226M

Discretionary

$211M

93% of AUM

Avg account

$502K

Accounts

450

Employees

Advisory reps

Firm details

Headquarters: PITTSFORD, New York
CRD number: 125580
Registered since: January 12, 2016
Website: www.professionalfinancial.com
Custodians: CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees
Client types: HNWI85.73%
Individuals6.34%
Pension & Profit Sharing Plans4.02%
Other3.01%
Charitable Organizations0.75%
Services: Financial PlanningPortfolio Management for IndividualsPension ConsultingPublication of Periodicals

Firm profile

FINTRX

Overview

Professional Financial is an independent Registered Investment Advisor formed before 2016 and owned by an individual principal. The firm serves primarily individual and family clients, offering financial planning, portfolio management for individuals and small businesses, pension consulting, and publishing periodic newsletters. Its fee arrangements include percentage-of-AUM billing as well as hourly and fixed-fee engagements. Professional Financial identifies as an active ESG investor and does not operate as a capital allocator or a multi-state adviser. The firm received recognition as a Top RIA Firms pick from FA Magazine in 2020. Custody and most client assets are held through a national custodian relationship rather than an in-house custodian arrangement.