DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Proffitt & Goodson Inc.
Latest filing Apr 15, 2026
First filing on the tape Feb 2, 2012 · 29 filings
SEC status approved since Nov 7, 1986
RAUM
$798M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
95%
$754M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$133M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$798M as of Apr 15, 2026
Feb 2, 2012$196M then
HNW client RAUM$723M as of Apr 15, 2026
Feb 22, 2018$369M then
State-registered IARs (5.B.3)6 as of Apr 15, 2026
Feb 2, 20120 then
Employees (5.A)9 as of Apr 15, 2026
Feb 15, 20136 then
Private funds: no history
RAUM +17% over the last fiscal year+15% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Apr 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $133MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $821,550derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 5.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.7%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $305M, 260 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$723M91%
- Individuals$30.9M3.9%
- Charitable organizations$27.8M3.5%
- Pension and profit-sharing plans$15.4M1.9%
- Corporations and businesses$488,3240.1%
- Individual clients
- 123reported
- HNW clients
- 170reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 971reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $305M for 260 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Nicholas Proffitt | Knoxville, Tn | Jan 27, 2004 | 40 y | 0 |
| David Norton GoodsonChartered Financial Analyst | Knoxville, Tn | Feb 4, 2004 | 42 y | 0 |
| Michael Stephen CermakChartered Financial Analyst | Knoxville, Tn | Aug 18, 2015 | 11 y | 0 |
| Neil Walker GoodsonChartered Financial Analyst | Knoxville, Tn | Apr 24, 2017 | 15 y | 0 |
| Connor Andrew CoxCertified Financial Planner | Knoxville, Tn | Dec 6, 2024 | 12 y | 0 |
| Michael Connor Seelman | Knoxville, Tn | Sep 17, 2025 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Alex Michael Owens to Sage Rhino Capital LLCMar 26, 2024 · RIA to RIA
- Jackson S Smith to Raymond James & Associates, Inc.Jun 5, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Norton David Goodson · Principal & Advisorcontrolsince 07/1986 · owns 50% to 75%
- Walker Neil Goodson · Principal, Advisor & Chief Compliance Officercontrolsince 07/2019 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Knoxville, Tn · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 838 to 971Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 5 to 6Mar 31, 2025 to Mar 31, 2026
- HNW clients · 149 to 170Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $258M to $305MMar 31, 2025 to Mar 31, 2026
- Employees · 8 to 9Mar 31, 2025 to Mar 31, 2026
- State-registered IARs · 5 to 6Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $664M to $779MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $610M to $723MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $32.4M to $30.9MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $16.5M to $18.5MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $12.6M to $15.4MMar 31, 2025 to Mar 31, 2026
- RAUM · $680M to $798MMar 31, 2025 to Mar 31, 2026
- Accounts · 816 to 838Apr 23, 2024 to Mar 31, 2025
- Charity clients · unset to 6.0Apr 23, 2024 to Mar 31, 2025
- HNW clients · 137 to 149Apr 23, 2024 to Mar 31, 2025
- Individual clients · 116 to 123Apr 23, 2024 to Mar 31, 2025
- Assets in custody · $220M to $258MApr 23, 2024 to Mar 31, 2025
- Financial planning clients · 51-100 to 101-250Apr 23, 2024 to Mar 31, 2025
- Discretionary RAUM · $590M to $664MApr 23, 2024 to Mar 31, 2025
- HNW RAUM · $539M to $610MApr 23, 2024 to Mar 31, 2025
- Individual RAUM · $30.9M to $32.4MApr 23, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $10.5M to $16.5MApr 23, 2024 to Mar 31, 2025
- Pension RAUM · $10.6M to $12.6MApr 23, 2024 to Mar 31, 2025
- RAUM · $600M to $680MApr 23, 2024 to Mar 31, 2025
- Advisory employees · 4 to 5Mar 26, 2024 to Apr 23, 2024
- Employees · 7 to 8Mar 26, 2024 to Apr 23, 2024
- State-registered IARs · 4 to 5Mar 26, 2024 to Apr 23, 2024
- Accounts · 827 to 816Mar 17, 2023 to Mar 26, 2024
- Advisory employees · 5 to 4Mar 17, 2023 to Mar 26, 2024
- Charity clients · 4.0 to unsetMar 17, 2023 to Mar 26, 2024
- Corporate clients · 2.0 to unsetMar 17, 2023 to Mar 26, 2024
- HNW clients · 129 to 137Mar 17, 2023 to Mar 26, 2024
- Individual clients · 112 to 116Mar 17, 2023 to Mar 26, 2024
- Pension plan clients · 5.0 to unsetMar 17, 2023 to Mar 26, 2024
- Assets in custody · $179M to $220MMar 17, 2023 to Mar 26, 2024
- Employees · 8 to 7Mar 17, 2023 to Mar 26, 2024
- State-registered IARs · 5 to 4Mar 17, 2023 to Mar 26, 2024
- Discretionary RAUM · $520M to $590MMar 17, 2023 to Mar 26, 2024
- HNW RAUM · $473M to $539MMar 17, 2023 to Mar 26, 2024
- Individual RAUM · $30.5M to $30.9MMar 17, 2023 to Mar 26, 2024
Signals
6 dated events
- Alex Michael Owens left Proffitt & Goodson Inc. for Sage Rhino Capital Llc (registered 2024-04-04)Mar 26, 2024 · Advisor changed firm · fact
- Jackson S Smith left Proffitt & Goodson Inc. for Raymond James & Associates, Inc. (registered 2023-05-31)Jun 5, 2023 · Advisor changed firm · fact
- Tate Benjamin Goodson (Managing Director) no longer on Schedule A of Proffitt & Goodson Inc. (listed 2021-03-24, absent 2022-01-03)Jan 3, 2022 · Control person left · inference
- Tate Benjamin Goodson (Managing Director) appeared on Schedule A of Proffitt & Goodson Inc.Jul 30, 2019 · Control person joined · fact
- Walker Neil Goodson (Managing Director & Chief Compliance Officer) appeared on Schedule A of Proffitt & Goodson Inc.Jul 30, 2019 · Control person joined · fact
- 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)Jul 30, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@proffittgoodson.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 865-584-1850reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-776-3355reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/proffitt-&-goodson-inc.reportedpublic record, Form ADV, Sep 17, 2026
- Website
- proffittgoodson.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 865-584-1850reportedpublic record, Form ADV, Apr 15, 2026
- Team page
- proffittgoodson.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $133Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026