Professional Financial Strategies, Inc
- Regulatory AUM
- $226M
- Discretionary
- $211M
- Clients
- 93
- Avg AUM / client
- $2.4M
- Accounts
- 450
- Employees
- 4
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Apr 14, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 24 | $14.3M | 6.34% |
| High net worth individuals | 69 | $194M | 85.7% |
| Pension and profit sharing plans | Fewer than 5 clients | $9.1M | 4.02% |
| Charitable organizations | Fewer than 5 clients | $1.7M | 0.75% |
| Corporations and other businesses | Fewer than 5 clients | $335K | 0.15% |
| Other | Fewer than 5 clients | $6.8M | 3.01% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Paul Byron Hill | Ceo, President | CFP Chartered Financial Consultant | Feb 1993 (34y) | 75% or more |
| Kam Lin Kok Hill | Vice President | CFP Chartered Financial Consultant | Jan 2002 (25y) | Less than 5% |
| Peter C Van Der Voorn | Registered representative | CFP | May 2021 (5y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/14/2026 | 1.02 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THE SETTLED ORDER PROVIDES THAT PFS VIOLATED A PROVISION OF RULE 206(4)-1 OF THE INVESTMENT ADVISERS ACT IN CONNECTION WITH THE DISSEMINATION OF CERTAIN ADVERTISEMENTS CONTAINING THIRD-PARTY RANKINGS. THE FIRM DISSEMINATED CERTAIN MATERIAL ON ITS PUBLIC WEBSITE AND NEWSLETTERS CONTAINING ONE THIRD-PARTY RATINGS THAT DID NOT CLEARLY AND PROMINENTLY DISCLOSE THE DATE ON WHICH THE RATING WAS GIVEN, PERIOD OF TIME UPON WHICH THE RATING WAS BASED, AND THAT THE RATING HAD BEEN ISSUED SIXTEEN YEARS EARLIER. Status: Final Sanction Detail: IN CONNECTION WITH THE SETTLED ORDER, THE FIRM PAID A CIVIL MONETARY PENALTY IN THE AMOUNT $60,000 TO THE UNITED STATES SECURITES AND EXCHANGE COMMISSION. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF THE SETTLED ORDER THE FIRM CONSENTED TO THE ENTRY OF THE ORDER, WAS ORDERED TO CEASE AND DESIST FROM VIOLATING CERTAIN PROVISIONS OF THE INVESTMENT ADVISERS ACT, WAS CENSURED AND AGREED TO PAY A CIVIL MONETARY PENALTY.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Publication of periodicals or newsletters
Custody
Reported custodians
- Charles Schwab & Co. $211M (93% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 14, 2026.
View current Form ADV (SEC/IAPD) ↗