THE PROFESSIONAL FINANCIAL COMPANY LLC
Adviser information for THE PROFESSIONAL FINANCIAL COMPANY LLC last updated from Form ADV on March 28th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Utah, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 252 | $206.2M |
| Non-Discretionary | 0 | $0 |
| Total | 252 | $206.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 200 | $44.8M |
| HNW Individuals | 49 | $136.4M |
| 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 | 0 | $0 |
| Charitable organizations | 1 | $274,660 |
| 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 | 2 | $24.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-114491 |
|---|---|
| SEC ERA File Number | 801-114491 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 286419 |
| Legal Entity Identifier | None |
Principal Office
801 S PLEASANT GROVE BLVDSUITE 200
PLEASANT GROVE
UT
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: (801) 701-2345, Fax: (385) 233-0000
Chief Compliance Officer
WILLIAM BRUCE MILLER
PRESIDENT
801 S PLEASANT GROVE BLVD
SUITE 200
PLEASANT GROVE
UT
United States
Tel:
(801) 701-2345
Fax:
(385) 233-0000
B****@*********M
(Full email address available in API data)
Regulatory Contact
BRENNON BOWEN
EXECUTIVE VP
801 S PLEASANT GROVE BLVD
SUITE 200
PLEASANT GROVE
UT
United States
Tel:
(801) 701-2345
Fax:
(385) 233-0000
B******@*********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 |
|---|---|---|---|---|---|
| THE MARY G. MILLER REVOCABLE TRUST | Domestic Entity | – | MEMBER | 09/2015 | 10-25% |
| MILLER, WILLIAM, BRUCE | Individual | – | PRINCIPAL & CHIEF COMPLIANCE OFFICER | 09/2015 | < 5% |
| THE W. BRUCE MILLER REVOCABLE TRUST | Domestic Entity | – | MEMBER | 09/2015 | > 75% |
| MILLER, WILLIAM, BRUCE | Individual | THE W. BRUCE MILLER REVOCABLE TRUST | TRUSTEE | 04/2015 | |
| MILLER, MARY, G | Individual | THE MARY G. MILLER REVOCABLE TRUST | TRUSTEE | 04/2015 | |
| BOWEN, BRENNON, STERLING | Individual | – | EXECUTIVE VICE PRESIDENT | 12/2018 | 10-25% |