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Professional Financial Management, Inc.

● SEC registered since 2026CRD 154016SEC# 801-135207Appleton, WI
Export (members)
Reg. AUM
$103.2M
Employees
5
Accounts
648
Location
Appleton, WI

Professional Financial Management, Inc. assets under management

Professional Financial Management, Inc. is an SEC-registered investment adviser based in Appleton, WI. The firm has been registered since 2026. It reports $103.2 million in regulatory assets under management and employs 5 people.
www.pfmria.comView on SEC.gov ↗

Professional Financial Management, Inc. owners & executives

3 reported
NameTitleOwnershipSince
Donald Allen Swain ControlVice President25-50%2013
Kirt Douglas Rezek ControlChief Compliance Officer And Secretary25-50%2013
Mark John Vanderlinden ControlPresident25-50%2010

Frequently asked questions

How much does Professional Financial Management, Inc. manage?

Professional Financial Management, Inc. reports $103.2 million in regulatory assets under management on its Form ADV.

How many employees does Professional Financial Management, Inc. have?

Professional Financial Management, Inc. reports 5 employees.

Where is Professional Financial Management, Inc. located?

Professional Financial Management, Inc. is based in Appleton, WI and has been SEC-registered since 2026.

Does Professional Financial Management, Inc. disclose fund performance?

Professional Financial Management, Inc. is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.

Contact & registration

AddressW6184 Aerotech Drive, Suite a, Appleton, WI 54914
Phone920-687-2600
Fax920-687-9163
Office hours8:30a.m.-4:30p.m.
SEC regionChicago Regional Office (CHRO)
Discloses disciplinary historyNo

Assets under management

Discretionary$90M
Non-discretionary$13.2M
Total (RAUM)$103.2M