# Professional Financial Management, Inc.

> Professional Financial Management, Inc. is an SEC-registered investment advisory firm in Appleton, WI, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 18, 2026.

- CRD: 154016
- Filed as: PROFESSIONAL FINANCIAL MANAGEMENT, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Appleton, WI
- Filing period: October 2026
- Form ADV filing dated: March 18, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/154016
- AdvisorCensus page: https://advisorcensus.com/firm/professional-financial-management-inc-appleton-wi-154016

## Quick answers

**How is Professional Financial Management, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Professional Financial Management, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Professional Financial Management, Inc. located?**
Professional Financial Management, Inc.'s principal office is in Appleton, WI, according to its Form ADV.

**Is Professional Financial Management, Inc. registered with the SEC or a state?**
Professional Financial Management, Inc. is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 154016.

**How much does Professional Financial Management, Inc. manage?**
Professional Financial Management, Inc. reports $115,520,555 in regulatory assets under management in its Form ADV filing dated March 18, 2026 (87% discretionary).

**What types of clients does Professional Financial Management, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (126); high net worth individuals (38).

**Which custodians does Professional Financial Management, Inc. use?**
Professional Financial Management, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Professional Financial Management, Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/154016

**What changed in Professional Financial Management, Inc.'s recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $103,216,665 to $115,520,555 (+12%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $115,520,555
- Discretionary: $100,816,804
- Non-discretionary: $14,703,751

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 126 | $51,006,131 |
| High net worth individuals | 38 | $64,514,424 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2026 (0 years)
- Employees: 5 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: TX, WI
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- napfa.org/FIRM/6759/7706
- pfmria.com
- LinkedIn @PROFESSIONAL-FINANCIAL-MANAGEMENT-INC.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $103,216,665 to $115,520,555 (+12%).

### February 2026
- Newly registered with the SEC.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Professional Financial Management, Inc. (CRD 154016): Form ADV filing data as of October 2026.