Donald Swain
Donald Swain is a CFA-designated registered investment advisor at Professional Financial Management, INC., based in Appleton, WI, with 16 years of industry experience. Donald operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 160 clients with $100M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $100K | 1.20% |
| $100K - $500K | 1.00% |
| $500K - $1.0M | 0.90% |
| $1.0M - $2.5M | 0.80% |
| $2.5M - $5.0M | 0.70% |
| $5M+ | 0.60% |
Fees are negotiable. The annual fee percentage for outside accounts is 50% of the marginal rate if the combined balances of the managed and outside accounts total $100,000 or more.
Fee Estimator
Location
W6184 Aerotech Drive, Suite A, Appleton, WI, 54914
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Donald is a 33.3% member of Algo Properties LLC, a limited liability company that owns real estate.
Employment History
Current Registrations
Professional Financial Management, INC.
Previous Registrations
Raymond James Financial Services Advisors, INC
Wealth Management LLC
State Registrations2 states
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