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

PROFESSIONAL FINANCIAL ADVISORS, INC.

CRD 119910

NEW CUMBERLAND, PA

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:968ba2a3-0c99-70f6-d143-3fc5cc4fac28

Data as of May 24, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 0
Observed: Feb 9, 2012 to May 24, 2019
11 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: $158MItem 5.F on the latest filing (2019-05-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $144M
Private client RAUM: $157MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,376
Individual clients: 1,376
Custody, client assets: $89.6M
SEC number: 801-80843
CRD: 119910
Filings on the tape: 11
First filed: Feb 9, 2012
Latest filed: May 24, 2019
Organised: Corporation, Pennsylvania

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
AMOS, MATTHEW, PHILIP	Director	D	yes	03/1986	Feb 9, 2012	May 24, 2019
ENGLEHART, DAVID, LEE	CHIEF COMPLIANCE OFFICER	B	yes	09/2018	Feb 9, 2012	May 24, 2019
NICKUM, JEFFREY, SCOTT	DIRECTOR OF MARKETING	B	yes	02/2000	Feb 9, 2012	May 24, 2019
ZIMMERMANN, CURT, HEINZ	President	B	yes	09/2018	Feb 9, 2012	May 24, 2019
SWOPE, KIMBERLY, IRENE	V.P. OPERATIONS/SECURITY ADMINISTRATOR	Na	no	01/2006	Feb 9, 2012	May 24, 2019

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
PFA SECURITY ASSET MANAGEMENT, INC.	n/a	n/a	n/a	N	yes	n/a
PROFESSIONAL ASSET MANAGEMENT ADVISORS, INC.	n/a	n/a	n/a	N	yes	n/a

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
2018	Jan 29, 2019	$158M	$144M	6	5	0	n/a	n/a
2017	Mar 28, 2018	$154M	$139M	6	5	0	n/a	n/a
2016	Apr 6, 2017	$132M	$118M	6	5	n/a	n/a	n/a
2015	May 4, 2016	$113M	$100M	6	5	n/a	n/a	n/a
2011	Feb 9, 2012	$70.4M	$60.9M	n/a	n/a	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
2018	$158M	$154M	2.6%	$113M	12.0%	6	6	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
ZIMMERMANN INVESTMENT MANAGEMENT & PLANNING LLC	4	Nov 22, 2019	Apr 15, 2019	CAMP HILL, PA	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (4)

← AMOS, MATTHEW, PHILIPOwnerDIRECTOR, ownership code D, individual
Feb 9, 2012 to presentfactForm ADV
← ENGLEHART, DAVID, LEEOwnerCHIEF COMPLIANCE OFFICER, ownership code B, individual
Feb 9, 2012 to presentfactForm ADV
← ZIMMERMANN, CURT, HEINZOwnerPRESIDENT, ownership code B, individual
Feb 9, 2012 to presentfactForm ADV
← NICKUM, JEFFREY, SCOTTOwnerDIRECTOR OF MARKETING, ownership code B, individual
Feb 9, 2012 to presentfactForm ADV

Owns (1)

← SWOPE, KIMBERLY, IRENEOwnerV.P. OPERATIONS/SECURITY ADMINISTRATOR, ownership code NA, individual
Feb 9, 2012 to presentfactForm ADV

Registered with (5)

← CURT HEINZ ZIMMERMANNAdvisorregistration: previous registration
Sep 19, 2001 to Nov 22, 2019factForm ADV
← JEFFREY SCOTT NICKUMAdvisorregistration: previous registration
Feb 13, 2002 to Nov 22, 2019factForm ADV
← KIMBERLY IRENE SWOPEAdvisorregistration: previous registration
Jun 22, 2007 to Nov 22, 2019factForm ADV
← GEORGE D KEGERREISAdvisorregistration: previous registration
Mar 25, 2013 to Nov 22, 2019factForm ADV
← DENNIS J GRIERAdvisorregistration: previous registration
Sep 19, 2001 to Feb 19, 2003factForm ADV

Moved with (1)

→ ZIMMERMANN INVESTMENT MANAGEMENT & PLANNING LLCRegistered adviser4 advisors, firm absorbed, same day
Nov 22, 2019 to Apr 15, 2019factForm ADV

Dated events

Occurred
Jan 5, 2015
First Form ADV filing
Professional Financial Advisors, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:968ba2a3-0c99-70f6-d143-3fc5cc4fac28
First observed: Feb 9, 2012
Last observed: May 24, 2019 89 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 ADVISORS, INC.

CRD 119910

NEW CUMBERLAND, PA

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:968ba2a3-0c99-70f6-d143-3fc5cc4fac28

Data as of May 24, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:09 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AMOS, MATTHEW, PHILIP

Director

yes

03/1986

Feb 9, 2012

May 24, 2019

ENGLEHART, DAVID, LEE

CHIEF COMPLIANCE OFFICER

yes

09/2018

Feb 9, 2012

May 24, 2019

NICKUM, JEFFREY, SCOTT

DIRECTOR OF MARKETING

yes

02/2000

Feb 9, 2012

May 24, 2019

ZIMMERMANN, CURT, HEINZ

President

yes

09/2018

Feb 9, 2012

May 24, 2019

SWOPE, KIMBERLY, IRENE

V.P. OPERATIONS/SECURITY ADMINISTRATOR

01/2006

Feb 9, 2012

May 24, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PFA SECURITY ASSET MANAGEMENT, INC.

n/a

yes

n/a

PROFESSIONAL ASSET MANAGEMENT ADVISORS, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Jan 29, 2019

$158M

$144M

n/a

2017

Mar 28, 2018

$154M

$139M

n/a

2016

Apr 6, 2017

$132M

$118M

n/a

2015

May 4, 2016

$113M

$100M

n/a

2011

Feb 9, 2012

$70.4M

$60.9M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$158M

$154M

2.6%

$113M

12.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ZIMMERMANN INVESTMENT MANAGEMENT & PLANNING LLC

Nov 22, 2019

Apr 15, 2019

CAMP HILL, PA

Firm absorbed

RIA to RIA

100.0%