SourcingSourcing

PROFFITT & GOODSON INC.

C31
CRD 105278·SEC 801-28292·KNOXVILLE, TN
AUM
$797.7M
$500M-$1B
Est. Revenue
$8.0M
@ 1% on AUM
Est. EBITDA
$2.4M
@ 30% margin
Est. Deal Value
$19.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
PROFFITT & GOODSON INC.
CRD
105278
SEC file #
801-28292
EIN
621284128
DBA names
—

Economics

AUM
$797.7M
AUM band
$500M-$1B
AUM trajectory
'20'26
$429.1M → $797.7M▲ +86%
Client mix
Individuals High Net Worth170
Individuals Other123
Charitable Organizations6

Operations

Employees (total)
9
Advisory staff (per ADV)
6
Advisory staff (5-yr trend)
'20'26
5 advisors → 6 advisors▲ +20%
Primary office
KNOXVILLE TN
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMHourly chargesOther Compensation

Filings

Latest ADV filing
04/15/2026
ADV-W filed at
—
Website
proffittgoodson.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
GOODSON, NEIL, WALKER
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
GOODSON, NEIL, WALKER
GOODSON, DAVID, NORTON
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
PROFFITTGOODSON.COM
Rdap Domain Creation Date
1998-11-19T05:00:00Z
Rdap Firm Age Years
28
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
2
Form 5500 Total Compensation
52,273
Form 5500 Compensation Trajectory 3y
202552,273
Form 5500 Plan Count Trajectory 3y
20252
Schedule C Total Compensation
52,273
Schedule C Service Provider Rows
2

SEC EDGAR

Edgar Cik
0001123812
Edgar Registered
Yes
Edgar Filing Count
89
Edgar First Filing Date
2005-06-23
Edgar Last Filing Date
2026-05-06
Edgar 13f Count
87
Edgar 13f Latest AUM Estimate
Filing Date2026-05-06
Accession0001123812-26-000004

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
6
Bc Firm IAR Count
6
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
PO BOX 11629KNOXVILLE, TN 37939-1629
Business
PO BOX 11629KNOXVILLE, TN 37939-1629
Edgar EIN
621284128
Edgar Recent Filings
13F-HR2026-05-06 · 0001123812-26-000004
13F-HR2026-01-27 · 0001123812-26-000002
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2029-11-18T05:00:00Z
Rdap Domain Last Changed
2024-10-21T16:06:22Z
Rdap Nameservers
Ns69.worldnic.comNs70.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
6762893
Trust Company Affiliate
No

People (6)

6
GOODSON, NEIL, WALKER
IAR · Direct Owner · 62.5%
6762893
GOODSON, DAVID, NORTON
IAR · Direct Owner · 37.5%
1186819
CERMAK, MICHAEL, STEPHEN
IAR · Direct Owner · 17.5%
6542322
Michael Connor Seelman
IAR
7736565
JAMES NICHOLAS PROFFITT
IAR
4342210
Connor Andrew Cox
IAR
7906368