Professional Financial Management, Inc.
Firm details
- Headquarters
- Appleton, Wisconsin
- CRD number
- 154016
- Registered since
- January 21, 2026
- Website
- www.pfmria.com
- 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
FINTRXOverview
Professional Financial Management, Inc. is a corporation operating as an independent registered investment adviser. The firm is registered with the SEC (registered in 2026) and is owned by an individual. Its primary clients are individuals and families. Advisory services emphasize financial planning and portfolio management for individuals and small businesses. Fee arrangements include a percentage of assets under management as well as hourly and fixed-fee engagements. Public funds and mutual funds appear to be the core vehicles for client portfolios.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds73%
- Exchange Traded Equities25%
- Cash & Cash Equivalents2%
Owners & executives
1 of 1
Donald Swain
Partner and Chief Investment OfficerCRD 5619107
Contacts
2 of 2
Mark Vanderlinden
PresidentCRD 4539811
Kirt Rezek
PartnerCRD 3209093
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 19Active vs passive
$96.5M in ETFs
64%
$61.4M
36%
$35M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| VANGUARD LONG-TERM TREASURY INDEX FUND (VGLT) | Vanguard | Passive | Long Government | $17.5M | 348,870 | 18.14% |
Location
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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