Professional Retirement Strategies LLC

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Client assets under management

$52,142,739

Clients

238

3% high-net worth

Advisors

of 2 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

119

Very High

Average account size

$219,087

About

Professional Retirement Strategies serves individual investors—including both non‑HNW and high‑net‑worth clients—and retirement plans, providing discretionary asset management as well as ERISA plan advisory services. The firm offers ongoing portfolio management and may act as either a limited‑scope ERISA 3(21) advisor or a discretionary ERISA 3(38) investment manager for plan sponsors.

Investment programs are implemented according to a client‑specific investment policy statement and draw on fundamental, technical and cyclical analysis, with quarterly account reviews and periodic client meetings to monitor objectives and risk tolerance. The firm operates with discretionary trading authority and requires client assets be custodied at Charles Schwab, using custodial reporting and execution capabilities to support portfolio administration.

Noteworthy distinctions include a formal participant education effort—group enrollment meetings and investment education for plan participants—that the firm explicitly offers as part of its ERISA services, an offering that is relatively uncommon among peers. The brochure also discloses the firm’s use of Schwab’s custodial services (and associated soft‑dollar benefits) and that advisor representatives may receive external compensation for insurance products; these relationships and potential conflicts are addressed through disclosures and the firm’s fiduciary policies.

Client services

Portfolio management Pension consulting

Expertise

General retirement planning Retirement plans for business owners (SEP, solo 401k)

Fee options

Percentage

$0 - $1,500,000: 1.50% annually $1,500,001 - $3,500,000: 1.25% annually $3,500,001+: 1.00% annually

Other

Account minimum: $1,000

Main office location

Professional Retirement Strategies LLC

3925 S. 147 Th Street, Suite 115

Omaha NE 68144-5576, United States

Number of offices

Most active in

Colorado · Iowa · Missouri · Nebraska · Texas

Disclosures

Business activities & affiliations

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

Form ADV Part 2: Client Brochure

Quick links

402-305-5165

Advisors at this firm

Chad D

Series 66

Omaha, NE

Professional Retirement Strategies LLC

Chad Docken is a financial advisor with Professional Retirement Strategies LLC in Omaha, NE, holding a Series 66 credential and nine years of industry experience. He has previously worked at Heartland Financial Advisors and Gradient Securities. Outside of finance, he owns a costume prop shop called 3DForgeZ. Professional Retirement Strategies LLC provides discretionary portfolio management and ERISA plan advisory services to individual investors and retirement plan clients. The firm employs a documented investment policy and risk-tolerance process with discretionary trading authority and is noted for conducting public investment education seminars.

General retirement planning Retirement plans for business owners (SEP, solo 401k)

Marvin D

Series 63, Series 65

Omaha, NE

Professional Retirement Strategies LLC

Marvin Docken is a financial advisor with Professional Retirement Strategies LLC in Omaha, NE, holding Series 63 and Series 65 licenses and bringing 37 years of industry experience. He has worked at several firms, including Gradient Securities, LLC and Heartland Financial Advisors, LLC, and has conducted independent advisory work since 1995. Outside of advisory services, he is also active as an insurance agent specializing in insurance and fixed annuities. Professional Retirement Strategies LLC provides discretionary portfolio management and ERISA plan advisory services to individual investors and retirement plan clients. The firm serves both individual and institutional accounts, employing a documented investment policy and risk-tolerance process with discretionary trading authority, and it offers public seminars and workshops on investment education.

General retirement planning Retirement plans for business owners (SEP, solo 401k)

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