Professional Financial Management, INC.: new SEC registration, $116M AUM, Appleton, WI
Professional Financial Management, INC. (Appleton, Wisconsin): new SEC registration, $116M AUM, Appleton, WI. Its amount of 116 is below the median of 134 (33rd percentile). Dated 287 days ago, it serves as a historical benchmark. Score 45/100. As of 2026-10-28, from SEC monthly roster of registered investment advisers (Form ADV data).
Data as of · Compiled by Zalwin from SEC monthly roster of registered investment advisers (Form ADV data)
amount: 116 · 33th percentile of 1,149 NewRiaPulse records · 0.9x the median
Free preview: all 11 published fields of this record are shown below. Locked: 17 related WI NewRiaPulse records and the 6-column CSV export.
| Field | Value |
|---|---|
| Firm | Professional Financial Management, INC. |
| Legal name | Professional Financial Management, INC. |
| CRD | 154016 |
| Status | Approved |
| Registered with the SEC | 2026-01-21 |
| Latest Form ADV filing | 2026-03-18 |
| Location | Appleton, WI, United States |
| Regulatory AUM | $115,520,555 |
| Accounts | 659 |
| Employees | 5 |
| Website | HTTP://WWW.PFMRIA.COM |
| amount percentile | 33th of 1,149 (median 134, 0.9x median) |
| Peer records CSV (18 WI records) | 🔒 Click to unlock → |
| CRM-ready export with official source URLs | 🔒 Click to unlock → |
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CSV columns: Firm · AUM · Accounts · City · State · Registered · official source URL
- Source agency: SEC monthly roster of registered investment advisers (Form ADV data)
- Record date: 2026-01-21
- Data refreshed: 2026-10-28
- Refunds on request within 14 days
Top NewRiaPulse records (WI first): Sentinel Advisory Group, LLC · Paladin Partners · Fiduciary Financial Planning Network · Sycamore Investment Consulting Services, LLC · Cmg Wealth Advisors LLC · Browse all by state and category →
LIVE PUBLIC DATA Source: SEC monthly roster of registered investment advisers (Form ADV data) · Last refreshed: Wed, 28 Oct 2026 20:49:58 GMT
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Peer benchmark and outreach value: Professional Financial Management, INC. and 18 Wisconsin peers
- Wisconsin NewRiaPulse records like this one: 18
- Professional Financial Management, INC.'s amount: 33rd percentile of 1,149 records
- Timing: Low: older than 30 days
- Estimated pipeline if you contact every Wisconsin peer: $3,600 (peers × rate × deal size; an estimate from your assumptions, not a forecast)
45 / 100 Score
- $116M under management.
- Website on file.
What is the NewRiaPulse record for Professional Financial Management, INC. in Appleton, Wisconsin?
Professional Financial Management, INC. received SEC registration as an investment adviser (2026-01-21) with $115,520,555 in regulatory assets under management, based in Appleton, WI.
How does Professional Financial Management, INC. compare to other Wisconsin NewRiaPulse records?
Its amount of 116 is below the median (33th percentile); smaller records often move faster and face less competition. It is 287 days old; check the official source for later updates before acting.
Professional Financial Management, INC. vs. top 3 peers
| Organization | Location | Amount | Percentile | Record date |
|---|---|---|---|---|
| Professional Financial Management, INC. | Appleton, WI | 116 | 33rd | 2026-01-21 |
| Knecht Capital Management, LLC | 116 | 33rd | 2026-09-23 | |
| Crosspoint Capital Management | Orinda, CA | 117 | 34th | 2026-09-22 |
| Leonard Advisory Group LLC | Saint Joseph, MI | 114 | 30th | 2026-09-16 |
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NewRiaPulse: $100M-$500M NewRiaPulse: records in Wisconsin NewRiaPulse: Approved
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From the SEC's public monthly roster of registered investment advisers (Form ADV data). Firm level only: we leave out firms whose name is a person's name and never list individual representatives. Registration is not an endorsement by the SEC.