PROFESSIONAL FINANCIAL MANAGEMENT, INC.

RIASEC RegisteredEst. 2026
Total AUM
$116M
Discretionary
$101M
87% of AUM
Avg account
$175K
Accounts
659
Employees
5
Advisory reps
3

Firm details

Headquarters
APPLETON, Wisconsin
CRD number
154016
Registered since
January 21, 2026
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI55.85%
  • Individuals44.15%
Services
Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

Professional Financial Management, Inc. is an independent, privately owned registered investment adviser that lists 2026 as its SEC registration year. The firm serves individual and family clients, offering financial planning and discretionary portfolio management for individuals and small businesses. Its compensation mix includes asset-based fees, hourly charges, and flat fees. The adviser does not identify as an active ESG investor, does not operate as a multi-state adviser, and is not designated as a capital allocator.

Assets & Accounts

Public Holdings

Investments & Alternatives

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 73%, Exchange Traded Equities 25%, Cash & Cash Equivalents 2%73%
  • Public Funds/Mutual Funds73%
  • Exchange Traded Equities25%
  • Cash & Cash Equivalents2%

Owners & executives

1 of 1
  • DONALD SWAIN

    Chief Investment OfficerCRD 5619107

Contacts

2 of 2
  • MARK VANDERLINDEN

    PresidentCRD 4539811

  • KIRT REZEK

    PartnerCRD 3209093

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 15

Active vs passive

$82.7M in ETFs

Passive

59%

$48.7M

Active

41%

$34M

ETFProviderStyleCategoryValueShares% of portfolio
VANGUARD LONG-TERM TREASURY INDEX FUND (VGLT)VanguardPassiveLong Government$13.5M243,81016.32%

Location

Primary office

APPLETON, WI

OUTAGAMIE

Location

APPLETON, WI

Headquartered in APPLETON, WI, anchoring the Appleton-Oshkosh-Neenah, WI metro in the Midwest.

Metro area
Appleton-Oshkosh-Neenah, WI
Region
Midwest
County
OUTAGAMIE
Address
W6184 Aerotech Dr
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth