Professional Retirement Strategies LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Professional Retirement Strategies provides discretionary portfolio management to individual clients and advisory services to pension and profit‑sharing plans. The firm offers ongoing asset management for individuals and serves retirement plans in either a limited‑scope ERISA 3(21) advisory capacity or as a discretionary ERISA 3(38) investment manager.
The firm documents client goals and risk tolerances in investment policy statements and implements strategies using fundamental, technical and cyclical analysis, with discretionary trading authority and periodic (at least quarterly) account reviews. Fees are billed quarterly in arrears and custody, execution and reporting are handled through a designated custodian relationship.
What is distinctive for this firm is its emphasis on participant education and group enrollment meetings for retirement plan participants — educational seminars or workshops are an uncommon service among peers. It also combines both 3(21) and 3(38) plan roles, requires use of a single custodian for execution and soft‑dollar services, discloses that representatives may receive separate insurance‑product compensation, and leaves proxy voting to clients rather than voting proxies on their behalf.
Client services
Expertise
Occupation focus
Fee options
$0 - $1,500,000: 1.50% annually $1,500,001 - $3,500,000: 1.25% annually Over $3,500,001+: 1.00% annually
Account minimum: $1,000
Main office
3925 S. 147th Street, Suite 115
Omaha NE 68144-5576
Advisors at this office
2
Most active in
Colorado · Iowa · Missouri · Nebraska · 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
Advisors at this firm
Chad D
Series 66
Omaha, NE
Professional Retirement Strategies LLC
Chad Docken is a financial advisor with Professional Retirement Strategies LLC in Omaha, NE, holding a Series 66 credential and nine years of industry experience. He has previously worked at Heartland Financial Advisors and Gradient Securities. Outside of finance, he owns a costume prop shop called 3DForgeZ. Professional Retirement Strategies LLC provides discretionary portfolio management and ERISA plan advisory services to individual investors and retirement plan clients. The firm employs a documented investment policy and risk-tolerance process with discretionary trading authority and is noted for conducting public investment education seminars.
Marvin D
Series 63, Series 65
Omaha, NE
Professional Retirement Strategies LLC
Marvin Docken is a financial advisor with Professional Retirement Strategies LLC in Omaha, NE, holding Series 63 and Series 65 licenses and bringing 37 years of industry experience. He has worked at several firms, including Gradient Securities, LLC and Heartland Financial Advisors, LLC, and has conducted independent advisory work since 1995. Outside of advisory services, he is also active as an insurance agent specializing in insurance and fixed annuities. Professional Retirement Strategies LLC provides discretionary portfolio management and ERISA plan advisory services to individual investors and retirement plan clients. The firm serves both individual and institutional accounts, employing a documented investment policy and risk-tolerance process with discretionary trading authority, and it offers public seminars and workshops on investment education.
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