Profolio Investments, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Profolio Investments, Inc. is an independent advisory firm that provides fee-based investment advisory, financial planning, and retirement plan services to individuals, trusts, estates, charitable organizations, corporations and other business entities, as well as plan sponsors. The firm also refers clients to unaffiliated third‑party managers and offers complimentary newsletters and educational seminars to clients and prospective clients.
The firm manages portfolios on a discretionary, customized basis using a strategic asset‑allocation approach aimed at managing risk and seeking performance, supplemented by fundamental analysis. Its investable universe can include exchange‑listed securities, fixed income, and alternative investments (private real estate, private equity, oil and gas interests, and non‑traded vehicles), and it participates in a model marketplace through its custodian to subscribe client accounts to third‑party model portfolios; the use of margin or options requires prior written client approval.
Notably, the firm provides retirement-plan consulting and 3(21) fiduciary services with participant education—a set of pension-related services that is uncommon among similar independent advisers—and regularly publishes client newsletters and hosts educational seminars, which are also relatively rare for firms of this category. The firm manages a modest asset base (about $18 million across roughly 25 clients) and discloses a 2023 regulatory suspension related to registration activity that was subsequently resolved.
Client services
Expertise
Occupation focus
Fee options
Initial financial planning fee of $450; ongoing annual financial planning fee of $450, payable semi-annually in $225 installments
Main office
Union KY
Advisors at this office
1
Most active in
Kentucky · New Jersey · Texas · Utah
Also doing business as
Profolio Investments · Profolio Investments, Inc.
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.
Forms ADV
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