Professional Financial Management, Inc.
● SEC registered since 2026CRD 154016SEC# 801-135207Appleton, WI
Reg. AUM
$115.5M
Employees
5
Accounts
659
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 $115.5 million in regulatory assets under management and employs 5 people.
Professional Financial Management, Inc. owners & executives
3 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Donald Allen Swain Control | Vice President | 25-50% | 2013 |
| Kirt Douglas Rezek Control | Chief Compliance Officer And Secretary | 25-50% | 2013 |
| Mark John Vanderlinden Control | President | 25-50% | 2010 |
Frequently asked questions
How much does Professional Financial Management, Inc. manage?
Professional Financial Management, Inc. reports $115.5 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
| Address | W6184 Aerotech Drive, Suite a, Appleton, WI 54914 |
| Phone | 920-687-2600 |
| Fax | 920-687-9163 |
| Office hours | 8:30a.m.-4:30p.m. |
| SEC region | Chicago Regional Office (CHRO) |
| Discloses disciplinary history | No |
Regulatory AUM
$115.5M▲ 12%
Dec '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 90%
Larger than 10% of 16,271 advisers
EmployeesTop 62%
More than 38% of 16,825 advisers
Assets under management
$115.5Mregulatory AUM
Discretionary $100.8MNon-discretionary $14.7M