Professional Financial Management, Inc.
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About
Professional Financial Management, Inc. provides financial planning and discretionary portfolio management to individuals, trusts, business owners, charitable foundations, and sponsors of qualified retirement plans, including both participant-directed plans and pooled employer plans. The firm operates with a small advisory team and manages just over $300 million in client assets across a concentrated client base.
The firm’s investment approach emphasizes globally diversified, low‑cost, institutional‑class mutual funds with a deliberate tilt toward small‑capitalization and value equities and an allocation to short‑ and mid‑term fixed income to reduce volatility and support periodic withdrawals. Portfolios are implemented using written investment policy statements, with attention to tax efficiency and coordination with clients’ other professional advisors.
Compared with many peers, the firm stands out for offering ERISA fiduciary services such as discretionary 3(38) investment‑manager responsibilities and pooled employer plan management despite its small advisor count. Other notable operational practices include institutional access to Dimensional-style funds for low‑turnover, tax‑aware implementation, treating complex planning projects as separate hourly engagements, a general policy of not aggregating most client trades for tax reasons, and a documented priority protocol for rebalancing after major market events.
Client services
Expertise
Occupation focus
Demographic focus
Fee options
$0 - $500,000: 0.85% $500,001 - $1,500,000: 0.65% $1,500,001 - $3,500,000: 0.45% $3,500,001 - $10,000,000: 0.35% $10,000,001+: 0.25%
$200.00 per hour for complex financial planning projects; initial estimate provided before work begins; fee may be waived at firm's discretion
Account minimum: $200,000 Minimum fee: $2,000 per year minimum annual fee ($500 per quarter) Fee-only: Standard investment advisory fees are asset-based; additionally, hourly fees of $200-$275 per hour apply for complex financial planning projects
Main office
See office2066 Stadium Dr, Ste 101
Bozeman MT 59718
Advisors at this office
1
Offices (2)
Most active in
Alaska · California · Louisiana · Montana · Texas · Washington
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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.
Advisors at this firm
Brandon S
CFP®, Series 65
Bozeman, MT
Professional Financial Management, Inc.
Brandon Smith is a CFP® with 11 years of industry experience, currently serving at Professional Financial Management, Inc. since 2015. He holds a Series 65 license and works out of Bozeman, MT. Professional Financial Management, Inc. provides financial planning and discretionary portfolio management to individuals, trusts, business owners, charitable foundations, and qualified retirement plan sponsors. The firm emphasizes globally diversified, low-cost, institutional-class mutual funds with a focus on small-cap and value equities, along with short- and mid-term fixed income, implementing portfolios through written investment policy statements and maintaining attention to tax efficiency.
Douglas B
CFP®, Series 63
Bozeman, MT
Professional Financial Management, Inc.
Douglas Babcock is a financial advisor at Professional Financial Management, Inc. in Bozeman, MT, holding CFP® and Series 63 designations with 18 years of industry experience. He has been with Professional Financial Management since 2010. Professional Financial Management, Inc. provides financial planning and discretionary portfolio management to individuals, trusts, business owners, charitable foundations, and qualified retirement plan sponsors. The firm focuses on globally diversified, low-cost institutional mutual funds with an emphasis on small-cap and value equities, and manages just over $300 million in client assets through written investment policies and tax-efficient strategies.
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