Professional Financial Management provides financial planning and portfolio management for individuals and small businesses. Financial planning was provided to 101–250 clients last fiscal year.
Professional Financial Management reports 164 clients. They include 126 individual clients and 38 high-net-worth individuals. Of its assets, 87.3% ($101M across 553 accounts) are managed with discretion; $14.7M across 106 accounts are not. It advised 164 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 77% | 44% |
| High-net-worth individuals | 23% | 56% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 126 | $51M | 44.2% | $405K |
| High-net-worth individuals | 38 | $64.5M | 55.8% | $1.7M |
| Total | 164 | $116M | 100% | $704K |
- Clients
- 126
- Regulatory AUM
- $51M
- AUM share
- 44.2%
- Avg. per client
- $405K
- Clients
- 38
- Regulatory AUM
- $64.5M
- AUM share
- 55.8%
- Avg. per client
- $1.7M
Total
- Clients
- 164
- Regulatory AUM
- $116M
- AUM share
- 100%
- Avg. per client
- $704K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 164
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 101–250
Professional Financial Management charges 0.60%–1.20% a year for its Level I – Investment Management. The fee is billed in advance and is negotiable. The brochure also prices 4 other services, listed under fee details.
Fee details and sources
Other fees
- Level II financial planning
- Level II adds a financial planning fee of $50 per quarter on top of the managed-account percentage fee.
- Level III wealth advisory
- Level III financial planning is $1,500 initial and $125 per quarter, or $4,500 initial and $500 per quarter for comprehensive planning without investment management.
- Outside accounts
- Outside accounts, including employer retirement plans, are billed on the same table at 50% of the marginal rate once combined balances reach $100,000.
- Portfolio review
- Portfolio reviews are billed at $250 per hour, based on the estimated hours required.
Mark Vanderlinden owns 25% to 50% of Professional Financial Management. The leadership team of Professional Financial Management includes President Donald Swain and Chief Compliance Officer Kirt Rezek. It has 5 employees, 3 of them in advisory roles.
Staff
- 5 employees
- 3 in advisory functions
- 3 state-registered reps
- Owns 25% to 50% of Professional Financial Management, Inc.
Mark Vanderlinden
Control person · since May 2010
- Owns 25% to 50% of Professional Financial Management, Inc.
Kirt Rezek
Control person · since January 2013
- Owns 25% to 50% of Professional Financial Management, Inc.
Donald Swain
Control person · since January 2013
Besides its headquarters, Professional Financial Management has 0 offices, with 1 listed address in 1 state.
Wisconsin · 1 listed address
- W6184 Aerotech Drive, Suite A, AppletonHQ
Contact and registration details
- Legal name
- Professional Financial Management, Inc.
- Headquarters
- W6184 Aerotech Drive, Suite A, Appleton, WI 54914
- Phone
- 920-687-2600
- SEC file
- 801-135207
- Structure
- Wisconsin corporation
- Fiscal year end
- December
Professional Financial Management’s named custodian for separately managed accounts is Charles Schwab ($90M). Professional Financial Management does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $90M100%
At year end, Professional Financial Management’s separately managed accounts were mostly in funds (73%) and stocks (25%). Its reported 13F holdings for the quarter ended 30 June 2026 total $98.6M across 24 positions; the largest are Vanguard Scottsdale Fds (16.4%), Vaneck ETF Trust (8.6%) and Cambria ETF TR (8.4%).
What the accounts hold
- Stocks25%
- Funds73%
- Cash2%
How many clients does Professional Financial Management have?
Professional Financial Management has 164 clients and manages $116 million for them, as of March 2026. They include 126 individual clients and 38 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 18 March 2026
What services does Professional Financial Management offer?
Professional Financial Management provides financial planning and portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Professional Financial Management charge?
Professional Financial Management charges 0.60%–1.20% a year for its Level I – Investment Management. The fee is billed in advance and is negotiable.
Source: PROFESSIONAL FINANCIAL MANAGEMENT - BROCHURE, filed 18 March 2026
Which custodians does Professional Financial Management use?
Professional Financial Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $90M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 18 March 2026
How many financial advisors does Professional Financial Management have?
Professional Financial Management has 3 investment adviser representatives registered with state securities authorities, out of 5 employees, and 3 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Professional Financial Management invest in?
At the end of its last fiscal year, Professional Financial Management’s separately managed accounts held 73% registered funds (mutual funds, ETFs, BDCs), 25% exchange-traded equities and 2% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Professional Financial Management?
Professional Financial Management’s direct owners are Mark Vanderlinden, Kirt Rezek and Donald Swain, each holding 50% or less.
Source: Form ADV Part 1A, Schedules A and B, filed 18 March 2026
How does Professional Financial Management get paid?
Professional Financial Management is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Professional Financial Management?
Professional Financial Management’s main office is at W6184 Aerotech Drive, Suite A, Appleton, WI 54914. Its phone number is 920-687-2600. Its website is professionalfinancialmgmt.com.