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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

PROFFITT & GOODSON INC.

CRD 105278

KNOXVILLE, TN

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:a3d52a33-e5ad-b0e9-491b-9b104c411a62

Data as of Apr 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 6
On other graphs: 0
Observed: Feb 2, 2012 to Apr 15, 2026
29 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: independent wealth managerderivedprivate_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $798MItem 5.F on the latest filing (2026-04-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $779M
Private client RAUM: $754MderivedItem 5.D individuals plus high net worth individuals
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $133Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 9
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 971
Individual clients: 123
High net worth clients: 170
Custody, client assets: $305M
SEC number: 801-28292
CIK: 1123812
CRD: 105278
Filings on the tape: 29
First filed: Feb 2, 2012
Latest filed: Apr 15, 2026
Organised: Corporation, TN
Website: proffittgoodson.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JAMES NICHOLAS PROFFITT	n/a	KNOXVILLE, TN	22	40	n/a	no
DAVID NORTON GOODSON	Chartered Financial Analyst	KNOXVILLE, TN	22	42	n/a	no
MICHAEL STEPHEN CERMAK	Chartered Financial Analyst	KNOXVILLE, TN	11	11	n/a	no
NEIL WALKER GOODSON	Chartered Financial Analyst	KNOXVILLE, TN	9	15	n/a	no
Connor Andrew Cox	Certified Financial Planner	KNOXVILLE, TN	1	12	n/a	no
Michael Connor Seelman	n/a	KNOXVILLE, TN	1	12	n/a	no

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
GOODSON, DAVID, NORTON	PRINCIPAL & ADVISOR	D	yes	07/1986	Feb 2, 2012	Apr 23, 2024
Goodson, Neil, Walker	PRINCIPAL, ADVISOR & CHIEF COMPLIANCE OFFICER	D	yes	07/2019	Jul 30, 2019	Apr 23, 2024

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; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 15, 2026	$798M	$779M	9	6	0	n/a	n/a
2024	Mar 31, 2025	$680M	$664M	8	5	0	n/a	n/a
2023	Mar 26, 2024	$600M	$590M	7	4	0	n/a	n/a
2022	Mar 17, 2023	$531M	$520M	8	5	0	n/a	n/a
2021	Mar 24, 2022	$615M	$601M	8	6	0	n/a	n/a
2020	Mar 24, 2021	$564M	$548M	9	6	0	n/a	n/a
2019	Mar 27, 2020	$471M	$463M	9	5	0	n/a	n/a
2018	Mar 12, 2019	$386M	$385M	8	5	0	n/a	n/a
2017	Feb 22, 2018	$411M	$410M	9	5	0	n/a	n/a
2016	Mar 24, 2017	$366M	$365M	7	3	n/a	n/a	n/a
2015	Feb 29, 2016	$333M	$330M	7	3	n/a	n/a	n/a
2014	Feb 25, 2015	$293M	$290M	6	3	n/a	n/a	n/a
2013	Feb 11, 2014	$273M	$270M	6	3	n/a	n/a	n/a
2012	Feb 15, 2013	$233M	$231M	6	3	n/a	n/a	n/a
2011	Feb 2, 2012	$196M	$195M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	1

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
2025	$798M	$680M	17.3%	$531M	14.5%	9	8	0	0

Relationships

Registered with (8)

← Michael Connor SeelmanAdvisorregistration: current employment
Sep 17, 2025 to presentfactForm ADV
← Connor Andrew CoxAdvisorregistration: current employment
Dec 6, 2024 to presentfactForm ADV
← NEIL WALKER GOODSONAdvisorregistration: current employment
Apr 24, 2017 to presentfactForm ADV
← MICHAEL STEPHEN CERMAKAdvisorregistration: current employment
Aug 18, 2015 to presentfactForm ADV
← DAVID NORTON GOODSONAdvisorregistration: current employment
Feb 4, 2004 to presentfactForm ADV
← JAMES NICHOLAS PROFFITTAdvisorregistration: current employment
Jan 27, 2004 to presentfactForm ADV
← Alex Michael OwensAdvisorregistration: previous registration
Jan 23, 2021 to Mar 26, 2024factForm ADV
← Jackson S SmithAdvisorregistration: previous registration
Mar 14, 2022 to Jun 5, 2023factForm ADV

Controls (2)

← GOODSON, DAVID, NORTONOwnerPRINCIPAL & ADVISOR, ownership code D, individual
Feb 2, 2012 to Apr 23, 2024factForm ADV
← Goodson, Neil, WalkerOwnerPRINCIPAL, ADVISOR & CHIEF COMPLIANCE OFFICER, ownership code D, individual
Jul 30, 2019 to Apr 23, 2024factForm ADV

Dated events

Occurred
Mar 26, 2024
Advisor changed firm
Alex Michael Owens left Proffitt & Goodson Inc. for Sage Rhino Capital Llc (registered 2024-04-04)
Form ADVobserved 5 days ago
Occurred
Jun 5, 2023
Advisor changed firm
Jackson S Smith left Proffitt & Goodson Inc. for Raymond James & Associates, Inc. (registered 2023-05-31)
Form ADVobserved 5 days ago
Occurred
Jan 3, 2022
Control person left
Tate Benjamin Goodson (Managing Director) no longer on Schedule A of Proffitt & Goodson Inc. (listed 2021-03-24, absent 2022-01-03)
Form ADVobserved 5 days ago
Occurred
Jul 30, 2019
Control person joined
Tate Benjamin Goodson (Managing Director) appeared on Schedule A of Proffitt & Goodson Inc.
Form ADVobserved 5 days ago
Occurred
Jul 30, 2019
Control person joined
Walker Neil Goodson (Managing Director & Chief Compliance Officer) appeared on Schedule A of Proffitt & Goodson Inc.
Form ADVobserved 5 days ago
Occurred
Jul 30, 2019
Control person left
Nicholas James Proffitt (Chairman, Director, Secretary, Treasurer, Chief Compliance Officer) no longer on Schedule A of Proffitt & Goodson Inc. (listed 2019-03-12, absent 2019-07-30)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a3d52a33-e5ad-b0e9-491b-9b104c411a62
First observed: Feb 2, 2012
Last observed: Apr 15, 2026 5 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.

PROFFITT & GOODSON INC.

CRD 105278

KNOXVILLE, TN

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:a3d52a33-e5ad-b0e9-491b-9b104c411a62

Data as of Apr 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:43 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JAMES NICHOLAS PROFFITT

n/a

KNOXVILLE, TN

n/a

DAVID NORTON GOODSON

Chartered Financial Analyst

KNOXVILLE, TN

n/a

MICHAEL STEPHEN CERMAK

Chartered Financial Analyst

KNOXVILLE, TN

n/a

NEIL WALKER GOODSON

Chartered Financial Analyst

KNOXVILLE, TN

n/a

Connor Andrew Cox

Certified Financial Planner

KNOXVILLE, TN

n/a

Michael Connor Seelman

n/a

KNOXVILLE, TN

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GOODSON, DAVID, NORTON

PRINCIPAL & ADVISOR

yes

07/1986

Feb 2, 2012

Apr 23, 2024

Goodson, Neil, Walker

PRINCIPAL, ADVISOR & CHIEF COMPLIANCE OFFICER

yes

07/2019

Jul 30, 2019

Apr 23, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 15, 2026

$798M

$779M

n/a

2024

Mar 31, 2025

$680M

$664M

n/a

2023

Mar 26, 2024

$600M

$590M

n/a

2022

Mar 17, 2023

$531M

$520M

n/a

2021

Mar 24, 2022

$615M

$601M

n/a

2020

Mar 24, 2021

$564M

$548M

n/a

2019

Mar 27, 2020

$471M

$463M

n/a

2018

Mar 12, 2019

$386M

$385M

n/a

2017

Feb 22, 2018

$411M

$410M

n/a

2016

Mar 24, 2017

$366M

$365M

n/a

2015

Feb 29, 2016

$333M

$330M

n/a

2014

Feb 25, 2015

$293M

$290M

n/a

2013

Feb 11, 2014

$273M

$270M

n/a

2012

Feb 15, 2013

$233M

$231M

n/a

2011

Feb 2, 2012

$196M

$195M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$798M

$680M

17.3%

$531M

14.5%