SourcingSourcing

PROFOCUS, INCORPORATED

B63
CRD 113954·SEC 801-124789·PHOENIX, AZ
AUM
$156.5M
$100M-$500M
Est. Revenue
$1.6M
@ 1% on AUM
Est. EBITDA
$470K
@ 30% margin
Est. Deal Value
$3.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
PROFOCUS, INCORPORATED
CRD
113954
SEC file #
801-124789
EIN
—
DBA names
Profocus Incorporated

Economics

AUM
$156.5M
AUM band
$100M-$500M
AUM trajectory
'23'26
$111.0M → $156.5M▲ +41%
Client mix
Individuals Other93
Individuals High Net Worth46
Corporations13

Operations

Employees (total)
7
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'23'26
1 advisors → 2 advisors▲ +100%
Primary office
PHOENIX AZ
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsOther Advisory Services
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/23/2026
ADV-W filed at
—
Website
profocus.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SMITH, MICHAEL, MAURICE
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
SMITH, MICHAEL, MAURICE
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
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
PROFOCUS.COM
Rdap Domain Creation Date
1998-07-27T04:00:00Z
Rdap Firm Age Years
28
Rdap Firm Age Band
20+y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
35
Bc Firm Active IA Count
49
Bc Firm IAR Count
49
Custodian Candidates
Full
Charles Schwab6
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-07-26T04:00:00Z
Rdap Domain Last Changed
2025-07-26T18:00:28Z
Rdap Nameservers
Ns43.domaincontrol.comNs44.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
1189477
Trust Company Affiliate
No

People (14)

14
SMITH, MICHAEL, MAURICE
IAR · Direct Owner · 87.5%
1189477
GARRY PARRANT BISHOP
IAR
8145444
GREGG WILLIAM HUXLEY
IAR
3060431
BRENNAN VINCENT KRENGEL
IAR
4636381
LELAND TODD PROSHEK
IAR
4016188
Frederick Feliciano
IAR
2449455
ERIC PAUL HORNYAK
IAR
3021265
Shadi Maasri
IAR
6915746
MATTHEW ROBERT WESTBERRY
IAR
4908745
Gavin Schmidtmann
IAR
7555980
PAMELA Sue HARRISON
IAR
4776887
Larry Sfinas
IAR
419396
Richard A Yemm
IAR
2224927
Matthew Black
IAR
6576128