F
Financial Professionals Incorporated
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$20,245,024
This total excludes 4 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
70
16% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
70
Very HighAverage account size
$289,215
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
Portfolio management
Pension consulting
Selection of other advisers
Expertise
Wealth management
Retirement plans for business owners (SEP, solo 401k)
Retirement income strategy
Occupation focus
Founder/Business Owner
Retired
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 location
Financial Professionals Incorporated
Greenbrier AR, United States
Number of offices
1
Most active in
Financial Professionals Incorporated has reported serving >5 clients in these states in the last 12 months.
Arkansas · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
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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