# Donald Swain

> Donald Swain is a fee-only financial advisor at Professional Financial Management in Appleton, Wisconsin, who holds the CFA credential. Donald focuses on retirement planning, estate & legacy planning and tax planning. Professional Financial Management reports charging a percentage of assets, hourly fees and fixed fees on its Form ADV.

Page: https://find.wellspent.co/advisors/donald-swain/
Built from SEC adviser records and the firm's website; last checked October 30, 2026.

## Facts

- **Firm:** Professional Financial Management
- **Based in:** Appleton, Wisconsin
- **Fee model (firm's Form ADV):** Percentage of assets; Hourly; Fixed fees
- **Accepting new clients:** Yes (firm's website)
- **Assets under management (firm):** $115.5M across 659 accounts
- **Credentials:** CFA
- **Specialties:** Retirement planning, Estate & legacy planning, Tax planning
- **Works with:** Pre-retirees, Retirees
- **CRD:** 5619107 (https://adviserinfo.sec.gov/individual/summary/5619107)
- **SEC registration:** Investment adviser representative in TX, WI
- **Exams passed:** Series 63 (2010), Series 65 (2009)
- **Firm size:** 5 employees
- **Disclosures:** None reported
- **Website:** http://www.pfmria.com

## Frequently asked questions

### Is Donald Swain a fee-only financial advisor?

Yes, according to SEC records as of October 29, 2026: Donald holds no broker registration, and Professional Financial Management reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency on its Form ADV.

### How does Donald charge for financial advice?

Donald's firm, Professional Financial Management, reports charging a percentage of assets, hourly fees and fixed fees on its SEC Form ADV.

### Where is Donald Swain based?

Donald Swain is based in Appleton, Wisconsin.

### What does Donald specialize in?

Donald's specialties include retirement planning, estate & legacy planning and tax planning. Donald works with pre-retirees and retirees.

### What credentials does Donald Swain hold?

Donald Swain holds the CFA credential.

### Is Donald Swain registered with the SEC?

Yes. Donald Swain is registered as an investment adviser representative in TX and WI (CRD 5619107), per SEC Investment Adviser Public Disclosure data as of October 29, 2026.

### How much does Professional Financial Management manage?

Professional Financial Management reports $115.5M across 659 accounts in assets under management.

### How do I contact Donald Swain?

Through Donald's website, www.pfmria.com.

## Sources

- SEC adviser records (https://adviserinfo.sec.gov/individual/summary/5619107): the firm's Form ADV reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency, and the advisor holds no broker registration
- SEC Investment Adviser Public Disclosure and Form ADV: registration, exams, and firm facts, data as of October 29, 2026
- The firm's website (https://professionalfinancialmgmt.com/): specialties, clients served, and fees, checked October 30, 2026

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Source: Wellspent, the public graph of fee-only advisors (https://find.wellspent.co). No paid placement.