Hedge Fund Database

PROFESSIONAL FINANCIAL ADVISORS, LLC

Adviser information for PROFESSIONAL FINANCIAL ADVISORS, 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 Nebraska, United States

Employees

Total Number of Employees 7
Investment Advisory/Research 5
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 5
Licensed Agents of an Insurance Company 5
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 3,026 $428.6M
Non-Discretionary 12 $71.7M
Total 3,038 $500.3M

Clients

Type Number RAUM
Individuals 2,151 $165.5M
HNW Individuals 218 $141.6M
Banking or thrift institutions 2 $8.3M
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 2 $1.9M
Charitable organizations 1 $2.1M
State or municipal gov entities 1 $56.1M
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 8 $124.7M
Other 0 $0
Type Number
No. of Non-RAUM Clients 30
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 businessesPension consulting servicesSelection of other advisers (including private fund managers)FINANCIAL CONSULTING SERVICES
Compensation % of AUMHourly chargesFixed feesPERCENTAGE OF ASSETS UNDER ADVISEMENT

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 428.6M
Portfolio Manager to Program Sponsor
ANNUAL WRAP FEE PROFESSIONAL FINANCIAL ADVISORS, LLC

Identifiers

SEC RIA File Number 801-114978
SEC ERA File Number 801-114978
SEC CIK Numbers 1798221
SEC CRD Numbers 173719
Legal Entity Identifier None

Principal Office

1400 S DEWEY ST
SUITE 300
NORTH PLATTE
NE
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 308-534-8210, Fax: 308-532-4738

Websites

www.pfaretire.com/ twitter.com/pfaadvisors www.kcbusinesshuddle.com/ www.linkedin.com/company/professional-financial-advisors-llc-pfa www.facebook.com/professionalfinancialadvisors pfaretirebw.com/

Chief Compliance Officer

MARC WERKMEISTER
MANAGING MEMBER
1400 S DEWEY ST
SUITE 300
NORTH PLATTE
NE
United States
Tel: 308-534-8210
Fax: 308-532-4738
(Full email address available in API data)

Regulatory Contact

MARK MAYFIELD
FINANCIAL ADVISOR, COMPLIANCE MANAGER
1400 S DEWEY ST
SUITE 300
NORTH PLATTE
NE
United States
Tel: 308-534-8210
Fax: 308-532-4738
(Full email address available in API data)

Industry Affiliates

DANA F. COLE & COMPANY, LLP Accountant or accounting firm

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
ZACH, DANIEL, M Individual DANA F. COLE & COMPANY, LLP GENERAL PARTNER 01/1990
PETERSON, DOUGLAS, DE WAYNE Individual – MEMBER 01/2003 25-50%
DANA F. COLE & COMPANY, LLP Domestic Entity – MEMBER 01/2003 25-50%
OBRIST, THOMAS, M Individual DANA F. COLE & COMPANY, LLP GENERAL PARTNER 01/1978
HADDEN, DENNIS, LEE Individual DANA F. COLE & COMPANY, LLP GENERAL PARTNER 01/1990
OLSON, LORI, L Individual DANA F. COLE & COMPANY, LLP GENERAL PARTNER 01/1994
POKORNY, DONITA, D Individual DANA F. COLE & COMPANY, LLP GENERAL PARTNER 01/2013
BERAN, ROBERT, CHARLES Individual DANA F. COLE & COMPANY, LLP GENERAL PARTNER 01/1998
KLUTE, KENT, MICHAEL Individual DANA F. COLE & COMPANY, LLP GENERAL PARTNER 01/1998
MILLER, LONNIE, G Individual DANA F. COLE & COMPANY, LLP GENERAL PARTNER 10/2000
PEARSON, KIM, K Individual DANA F. COLE & COMPANY, LLP GENERAL PARTNER 07/2013
GUSTAFSSON, KERRY, A Individual DANA F. COLE & COMPANY, LLP GENERAL PARTNER 01/2013
SYLVESTER, KEVIN, C Individual DANA F. COLE & COMPANY, LLP GENERAL PARTNER 07/2013
MURRAY, ANGELA, M. Individual DANA F. COLE & COMPANY, LLP GENERAL PARTNER 01/2013
OELTJEN, JEFFREY, M. Individual DANA F. COLE & COMPANY, LLP GENERAL PARTNER 07/2013
BRUNS, RYAN, R. Individual DANA F. COLE & COMPANY, LLP GENERAL PARTNER 01/2013
SCOW, MICHAEI, D. Individual DANA F. COLE & COMPANY, LLP GENERAL PARTNER 07/2013
AAGESEN, NANCY, J. Individual DANA F. COLE & COMPANY, LLP GENERAL PARTNER 01/2013
WERKMEISTER, MARC, WILLIAM Individual – MEMBER/CHIEF COMPLIANCE OFFICER 01/2019 50-75%

No. Employees, Historic

105020192020202120222023202420258 on 8/8/20198 on 8/26/20198 on 10/2/20198 on 3/5/20208 on 5/21/20208 on 6/25/20208 on 7/13/20209 on 3/21/20219 on 3/21/20218 on 3/17/20228 on 3/18/20227 on 3/17/20237 on 3/28/2024

RAUM, Historic

600M300M02019202020212022202320242025143577194 on 8/8/2019143577194 on 8/26/2019143577194 on 10/2/2019196789683 on 3/5/2020196789683 on 5/21/2020196789683 on 6/25/2020196789683 on 7/13/2020279668079 on 3/21/2021279668079 on 3/21/2021390951214 on 3/17/2022390951214 on 3/18/2022307300204 on 3/17/2023500317944 on 3/28/2024

No. Clients, Historic

3,0001,500020192020202120222023202420251081 on 8/8/20191081 on 8/26/20191081 on 10/2/20191898 on 3/5/20201898 on 5/21/20201898 on 6/25/20201898 on 7/13/20201672 on 3/21/20211672 on 3/21/20211723 on 3/17/20221723 on 3/18/20221871 on 3/17/20232383 on 3/28/2024

Holdings

From latest 13F, filed July 17th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
DORIAN LPG LTD SHS USD 308K 7K –
ABBVIE INC COM 272K 2K –
ADVISORSHARES TR Q DYNAMIC GROWTH 2M 66K –
ALPHABET INC CAP STK CL C 2M 10K –
AMAZON COM INC COM 2M 10K –
APPLE INC COM 3M 14K –
APPLIED MATLS INC COM 335K 1K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 4M 10K –
BRAINSTORM CELL THERAPEUTICS COM NEW 6K 17K –
CAMBRIA ETF TR GLB MOMENT ETF 239K 8K –
CAMBRIA ETF TR GLB ASSET ALLO 2M 54K –
CAMBRIA ETF TR TAIL RISK 1M 106K –
CAPITAL GROUP GROWTH ETF SHS CREATION UNI 983K 30K –
CAPITAL GROUP DIVIDEND VALUE SHS CREATION UNI 1M 31K –
CAPITAL GROUP GBL GROWTH EQT SHS CREATION UNI 1M 35K –
CARMAX INC COM 1M 17K –
CONAGRA BRANDS INC COM 1M 41K –
DELL TECHNOLOGIES INC CL C 322K 2K –
ENERGY TRANSFER L P COM UT LTD PTN 266K 16K –
META PLATFORMS INC CL A 2M 4K –
FIDELITY MERRIMACK STR TR TOTAL BD ETF 1M 33K –
FIRST TR EXCHANGE-TRADED FD DORSEY WRT 5 ETF 200K 3K –
FIRST TR EXCHANGE-TRADED FD MNGD FUTRS STRGY 778K 16K –
HOME DEPOT INC COM 260K 754 –
INTERNATIONAL BUSINESS MACHS COM 203K 1K –
INVESCO QQQ TR UNIT SER 1 2M 3K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 815K 5K –
INVESCO EXCH TRADED FD TR II S&P INTL MOMNT 2M 56K –
INVESCO EXCH TRADED FD TR II S&P 500 MOMNTM 4M 46K –
INVESCO EXCH TRADED FD TR II S&P 500 ENHNCD 377K 8K –
ISHARES SILVER TR ISHARES 1M 47K –
ISHARES INC MSCI GBL MIN VOL 1M 12K –
ISHARES INC MSCI PAC JP ETF 809K 19K –
ISHARES TR CORE S&P TTL STK 1M 11K –
ISHARES TR CORE US AGGBD ET 63M 651K –
ISHARES TR LATN AMER 40 ETF 754K 30K –
ISHARES TR S&P 500 VAL ETF 913K 5K –
ISHARES TR S&P MC 400VL ETF 486K 4K –
ISHARES TR CORE S&P SCP ETF 667K 6K –
ISHARES TR NATIONAL MUN ETF 2M 16K –
ISHARES TR FLTG RATE NT ETF 789K 15K –
ISHARES TR MSCI USA MIN VOL 472K 6K –
ISHARES TR MSCI USA MMENTM 4M 21K –
ISHARES TR MSCI INTL MOMENT 1M 26K –
ISHARES TR MSCI INTL QUALTY 2M 53K –
ISHARES TR CORE DIV GRWTH 5M 91K –
ISHARES TR TRS FLT RT BD 3M 53K –
ISHARES TR ESG AWR MSCI USA 258K 2K –
ISHARES TR 0-3 MNTH TREASRY 5M 52K –
J P MORGAN EXCHANGE TRADED F US MOMENTUM 1M 22K –
KKR & CO INC COM 1M 14K –
LAMB WESTON HLDGS INC COM 1M 15K –
LITMAN GREGORY FDS TR IMGP DBI MANAGED 4M 145K –
MASTERCARD INCORPORATED CL A 1M 3K –
MICROSOFT CORP COM 3M 6K –
ORACLE CORP COM 240K 2K –
PIMCO ETF TR INTER MUN BD ACT 307K 6K –
PROCTER AND GAMBLE CO COM 538K 3K –
PROSHARES TR PSHS ULT S&P 500 2M 25K –
PUTNAM ETF TRUST FOCSD LARCP GWT 2M 69K –
PUTNAM ETF TRUST ESG ULTRA SHORT 379K 8K –
SPDR S&P 500 ETF TR TR UNIT 458K 842 –
SPDR GOLD TR GOLD SHS 2M 9K –
SPDR INDEX SHS FDS PORTFLI MSCI GBL 622K 10K –
SPDR INDEX SHS FDS PORTFOLIO EMG MK 613K 16K –
SPDR INDEX SHS FDS PORTFOLIO DEVLPD 705K 20K –
SPDR SER TR SPDR S&P1500VL 206K 1K –
SPDR SER TR PORTFOLIO AGRGTE 250K 10K –
SPDR SER TR PORTFOLI S&P1500 99M 1M –
SPDR SER TR PORTFOLIO S&P500 2M 24K –
SPDR SER TR BLOOMBERG 1-3 MO 5M 55K –
SPDR SER TR S&P1500MOMTILT 4M 17K –
SPDR SER TR PORTFOLIO S&P600 231K 6K –
SCHWAB CHARLES CORP COM 1M 19K –
SIMPLIFY EXCHANGE TRADED FUN SHORT TERM TREA 332K 16K –
SIMPLIFY EXCHANGE TRADED FUN INTMD TERM TRSRY 235K 18K –
SIMPLIFY EXCHANGE TRADED FUN SIMPLIFY INTERST 715K 15K –
TESLA INC COM 410K 2K –
TIDAL TR II RTN STACKED BD 1M 58K –
TIDAL TR II RET STCKD GL STK 2M 78K –
TIDAL TR II RETURN STCKD US 4M 179K –
UBER TECHNOLOGIES INC COM 1M 18K –
UNION PAC CORP COM 4M 19K –
UNITED STS GASOLINE FD LP UNITS 857K 13K –
VANECK ETF TRUST GOLD MINERS ETF 644K 19K –
VANGUARD STAR FDS VG TL INTL STK F 14M 239K –
VANGUARD WORLD FD MEGA GRWTH IND 215K 684 –
VANGUARD WELLINGTON FD US QUALITY 3M 24K –
VANGUARD BD INDEX FDS INTERMED TERM 247K 3K –
VANGUARD WHITEHALL FDS INTL DVD ETF 1M 16K –
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 3M 50K –
VANGUARD SCOTTSDALE FDS TOTAL WLD BD ETF 4M 56K –
VANGUARD INDEX FDS S&P 500 ETF SHS 12M 23K –
VANGUARD INDEX FDS MCAP VL IDXVIP 433K 3K –
VANGUARD INDEX FDS TOTAL STK MKT 9M 35K –
WALMART INC COM 1M 22K –
WELLS FARGO CO NEW COM 251K 4K –
WISDOMTREE TR EM MKTS QTLY DIV 923K 35K –
WISDOMTREE TR FLOATNG RAT TREA 2M 43K –
WISDOMTREE TR INTERNATIONL EFI 8M 213K –
WISDOMTREE TR EMERGING MARKETS 2M 62K –
WISDOMTREE TR US EFFICIENT COR 19M 438K –