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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

PROFESSIONAL FINANCIAL SERVICES, INC.

CRD 269937

SIOUX FALLS, SD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:408c804d-4875-9504-e2c8-92adbba2954c

Data as of Sep 20, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 4
On other graphs: 0
Observed: Jul 10, 2015 to Sep 20, 2022
19 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $190MItem 5.F on the latest filing (2022-09-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $190M
Private client RAUM: $190MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 625
Individual clients: 144
High net worth clients: 84
Custody, client assets: $1.1M
SEC number: 801-101514
CRD: 269937
Filings on the tape: 19
First filed: Jul 10, 2015
Latest filed: Sep 20, 2022
Organised: Corporation, South Dakota

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CARLSON, KAMERON, JAY	VICE PRESIDENT	D	yes	07/2015	Jul 10, 2015	Sep 20, 2022
CARLSON, NANCY, ANN	PRESIDENT AND CHIEF COMPLIANCE OFFICER	D	yes	07/2015	Jul 10, 2015	Sep 20, 2022

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Jan 31, 2022	$190M	$190M	2	2	0	n/a	n/a
2020	Jan 20, 2021	$182M	$172M	2	2	0	n/a	n/a
2019	Feb 27, 2020	$154M	$154M	2	2	0	n/a	n/a
2018	Jan 8, 2019	$119M	$119M	3	3	0	n/a	n/a
2017	Mar 8, 2018	$127M	$118M	3	3	0	n/a	n/a
2016	Feb 15, 2017	$112M	$105M	3	3	n/a	n/a	n/a
2015	Feb 16, 2016	$106M	$90.5M	3	2	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$190M	$182M	4.4%	$119M	16.8%	2	2	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
PRIME CAPITAL FINANCIAL	2	Mar 21, 2023	Dec 15, 2022	SIOUX FALLS, SD	Team lift out	RIA to RIA	100.0%

Relationships

Controls (2)

← CARLSON, NANCY, ANNOwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code D, individual
Jul 10, 2015 to presentfactForm ADV
← CARLSON, KAMERON, JAYOwnerVICE PRESIDENT, ownership code D, individual
Jul 10, 2015 to presentfactForm ADV

Registered with (3)

← NANCY ANN CARLSONAdvisorregistration: previous registration
Aug 5, 2015 to Mar 21, 2023factForm ADV
← KAMERON JAY CARLSONAdvisorregistration: previous registration
Aug 5, 2015 to Mar 21, 2023factForm ADV
← JILL NICOLE MOLLNERAdvisorregistration: previous registration
Jan 14, 2016 to May 17, 2019factForm ADV

Moved with (1)

→ PRIME CAPITAL FINANCIALRegistered adviser2 advisors, team lift out, same day
Mar 21, 2023 to Dec 15, 2022factForm ADV

Dated events

Occurred
Mar 21, 2023
Team lift-out
2 advisors left Professional Financial Services, Inc. (Sioux Falls, SD) for Prime Capital Financial on the same day
Form ADVobserved 3 days ago
2 advisors
Occurred
Mar 21, 2023
Advisor changed firm
Nancy Ann Carlson left Professional Financial Services, Inc. for Prime Capital Financial (registered 2022-12-15)
Form ADVobserved 4 days ago
Occurred
Mar 21, 2023
Advisor changed firm
Kameron Jay Carlson left Professional Financial Services, Inc. for Prime Capital Financial (registered 2022-12-15)
Form ADVobserved 4 days ago
Occurred
Jul 10, 2015
First Form ADV filing
Professional Financial Services, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:408c804d-4875-9504-e2c8-92adbba2954c
First observed: Jul 10, 2015
Last observed: Sep 20, 2022 48 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

PROFESSIONAL FINANCIAL SERVICES, INC.

CRD 269937

SIOUX FALLS, SD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:408c804d-4875-9504-e2c8-92adbba2954c

Data as of Sep 20, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:02 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARLSON, KAMERON, JAY

VICE PRESIDENT

yes

07/2015

Jul 10, 2015

Sep 20, 2022

CARLSON, NANCY, ANN

PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

07/2015

Jul 10, 2015

Sep 20, 2022

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Jan 31, 2022

$190M

n/a

2020

Jan 20, 2021

$182M

$172M

n/a

2019

Feb 27, 2020

$154M

n/a

2018

Jan 8, 2019

$119M

n/a

2017

Mar 8, 2018

$127M

$118M

n/a

2016

Feb 15, 2017

$112M

$105M

n/a

2015

Feb 16, 2016

$106M

$90.5M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$190M

$182M

4.4%

$119M

16.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PRIME CAPITAL FINANCIAL

Mar 21, 2023

Dec 15, 2022

SIOUX FALLS, SD

Team lift out

RIA to RIA

100.0%