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PROFESSIONAL FINANCIAL ADVISORS, LLC
CRD 173719File 801-114978
APPROVED
Retail clients
Custody
Filing as of Jun 24, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$769.8M
Above cohort median (national)
Discretionary AUM
$665.1M
Non-discretionary $104.7M
Clients
3,343
3,345 accounts
Employees
12
Above cohort median in NE
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- DRO
- Registration date
- Apr 10, 2019
- Principal office
- 1400 S DEWEY ST, SUITE 300, NORTH PLATTE, NE, 69101-5311
- Phone
- 308-534-8210
- Website
- HTTPS://WWW.PFARETIRE.COM/
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $769.8M
- Discretionary AUM
- $665.1M
- Non-discretionary AUM
- $104.7M
- Discretionary accounts
- 3,329
- Non-discretionary accounts
- 16
- Total accounts
- 3,345
- AUM per client
- $230K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 11 | $11.8M |
| Insurance companies | 8 | $2.3M |
| Charitable organizations | Fewer than 5 | $13.3M |
| High net worth individuals | 193 | $267.1M |
| Banking or thrift institutions | Fewer than 5 | $19.8M |
| Pension and profit sharing plans | 2 | $2.7M |
| State or municipal government entities | Fewer than 5 | $70.4M |
| Individuals (other than high net worth individuals) | 3,121 | $229.9M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Fixed fees
- Hourly charges
- Other (described) — PERCENTAGE OF ASSETS UNDER ADVISEMENT
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 3,345 | 3,343 | decreased by2 |
| Apr 1, 2026 | Employees | 10 | 12 | increased by2 |
| Apr 1, 2026 | Clients | 2,078 | 3,345 | increased by1,267 |
| Apr 1, 2026 | AUM | $614,113,385 | $769,807,736 | increased by$155,694,351 |
| Apr 1, 2026 | Accounts | 2,991 | 3,345 | increased by354 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 8 | 10 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,723 | 2,078 | increased by355 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $390,951,214 | $614,113,385 | increased by$223,162,171 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 2,740 | 2,991 | increased by251 |
| Apr 1, 2022 | Employees | 9 | 8 | decreased by1 |
| Apr 1, 2022 | Clients | 1,672 | 1,723 | increased by51 |
| Apr 1, 2022 | AUM | $279,668,079 | $390,951,214 | increased by$111,283,135 |
| Apr 1, 2022 | Accounts | 2,408 | 2,740 | increased by332 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “PROFESSIONAL FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“PROFESSIONAL FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.