Donald Swain
Professional Financial Management · Appleton, Wisconsin
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.
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Specialties
Who they serve
- Pre-retirees
- Retirees
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 |
| Assets under management | $115.5M across 659 accounts |
| Credentials | CFA |
| SEC registration | Investment adviser representative in TX, WI · CRD 5619107 |
| Exams passed | Series 63 (2010) · Series 65 (2009) |
| Firm size | 5 employees |
| Disclosures | None reported |
| Website | www.pfmria.com |
How Donald's firm compares
- Professional Financial Management's average account is about $175,000, from its Form ADV (assets managed divided by 659 accounts).
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Questions about Donald
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.
What these terms mean: fee-only · fiduciary · CFP · CRD number · all terms
Where this information comes from
- SEC adviser records : 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
- Professional Financial Management website : specialties, clients served, and fees, checked October 30, 2026
- SEC Investment Adviser Public Disclosure : registration, exams, and the firm's Form ADV, data as of October 29, 2026
- Directory listing last checked October 30, 2026.
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