Financial Professionals Incorporated
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$20,245,024
Clients
70
Advisors
1
of 1 employees
About
Financial Professionals Incorporated is a small independent advisory firm that provides discretionary asset management to individual investors and also serves corporate and business clients, including qualified retirement plans such as 401(k), 403(b), pension and profit-sharing plans. The firm reports managing roughly $27.1 million for about 70 clients and offers both direct portfolio management and plan-level advisory services.
The firm manages client accounts into defined strategies (Low Volatility, Conservative, Moderately Aggressive and a UMA Moderately Aggressive option) and uses the Envestnet Third Party Strategist network to access sub‑advisors and build advisor‑directed portfolios. Accounts are managed on a discretionary basis with periodic (typically quarterly) reviews, client-imposed investment restrictions are accepted, and tax efficiency is not a primary objective of portfolio management.
What distinguishes the firm from many similar single‑advisor independents is its regular provision of ERISA plan services—including acting as a limited scope 3(21) advisor or as a 3(38) investment manager—and related pension consulting and participant education offerings, services that are uncommon among peers. The principal also maintains an affiliated insurance practice (noted as about 10% of time and compensation) and the firm combines that small‑firm structure with use of a third‑party platform for UMA and sub‑advisor access.
Client services
Expertise
Occupation focus
Fee options
$0 - $250,000: FPI Conservative Portfolio: 1.00% annually (0.25% quarterly) $0 - $250,000: FPI Moderately Aggressive Portfolio: 1.00% annually (0.25% quarterly) $0+: FPI Low Volatility Portfolio: 0.50% annually (0.125% quarterly) $250,000+: UMA Moderately Aggressive Portfolio: 0.60% annually (0.15% quarterly)
Investment Advisor Representatives receive external compensation (commissions) for insurance products; approx. 10% of compensation.
Account minimum: $5,000 (general minimum); $250,000 (UMA Moderately Aggressive Portfolio) Fee-only: Annual fees based on assets under management, billed quarterly in advance. Fees are negotiable.
Main office
Greenbrier AR
Advisors at this office
1
Most active in
Arkansas · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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