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 an independently owned registered investment adviser organized as a corporation and registered with the SEC in 2026. The firm’s client focus is individuals and families, and its stated advisory services center on financial planning and portfolio management for individuals and small businesses. Compensation is delivered through a mix of percentage-of-AUM fees, hourly charges, and fixed-fee arrangements. The adviser does not identify as an ESG investor, is not a multi-state adviser, and is not structured as a capital allocator or pension consultant.
Assets & Accounts
Public Holdings
Investments & Alternatives
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
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 17Active vs passive
$86.5M in ETFs
68%
$59M
32%
$27.5M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| VANGUARD LONG-TERM TREASURY INDEX FUND (VGLT) | Vanguard | Passive | Long Government | $16.2M | 293,907 | 18.75% |
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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