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 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
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 1DONALD SWAIN
Chief Investment OfficerCRD 5619107
Contacts
2 of 2MARK VANDERLINDEN
PresidentCRD 4539811
KIRT REZEK
PartnerCRD 3209093
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 15Active vs passive
$82.7M in ETFs
59%
$48.7M
41%
$34M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| VANGUARD LONG-TERM TREASURY INDEX FUND (VGLT) | Vanguard | Passive | Long Government | $13.5M | 243,810 | 16.32% |
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
Similar firms
SUMNICHT & ASSOCIATES, LLC
RIAAPPLETON, WI
STONEHAVEN WEALTH & TAX SOLUTIONS
RIAAPPLETON, WI
COLLAR CAPITAL MANAGEMENT, LLC
RIAAPPLETON, WI
CONCEPTUAL FINANCIAL ADVISORS, LLC
RIAAPPLETON, WI
GOALBRIDGE WEALTH MANAGEMENT, LLC
RIAAPPLETON, WI
CORNERSTONE FINANCIAL GROUP
RIAAPPLETON, WI