PROFESSIONAL FINANCIAL
PROFESSIONAL FINANCIAL STRATEGIES, INC Legal Name
Adviser information for PROFESSIONAL FINANCIAL last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 393 | $171.8M |
| Non-Discretionary | 46 | $19.7M |
| Total | 439 | $191.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 35 | $21.9M |
| HNW Individuals | 63 | $155.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $6.8M |
| Charitable organizations | <5 | $1.3M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $478,387 |
| Other | <5 | $5.7M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesPublication of periodicals or newsletters |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-107130 |
|---|---|
| SEC ERA File Number | 801-107130 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 125580 |
| Legal Entity Identifier | None |
Principal Office
1159 PITTSFORD-VICTOR RDSUITE 120
PITTSFORD
NY
United States
Monday - Friday, 9:00 AM TO 6:00 PM
Tel: 585-218-9080, Fax: 585-218-9352
Chief Compliance Officer
PAUL BYRON HILL
CEO & PRESIDENT
1159 PITTSFORD-VICTOR RD
SUITE 120
PITTSFORD
NY
United States
Tel:
585-218-9292
Fax:
585-218-9352
P*******@************************M
(Full email address available in API data)
Regulatory Contact
KAM-LIN KOK HILL
EXECUTIVE VICE PRESIDENT
1159 PITTSFORD-VICTOR RD
SUITE 120
PITTSFORD
NY
United States
Tel:
585-218-9081
Fax:
585-218-9352
K*******@************************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HILL, PAUL, BYRON | Individual | – | CEO, PRESIDENT | 02/1993 | > 75% |
| KOK, KAM-LIN | Individual | – | VICE PRESIDENT | 01/2002 | < 5% |
| HILL, PAUL, BYRON | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2004 | > 75% |