Proffitt & Goodson Inc.
- Regulatory AUM
- $798M
- Discretionary
- $779M
- Clients
- 299
- Avg AUM / client
- $2.7M
- Accounts
- 971
- Employees
- 9
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Apr 15, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 123 | $30.9M | 3.88% |
| High net worth individuals | 170 | $723M | 90.6% |
| Pension and profit sharing plans | Fewer than 5 clients | $15.4M | 1.93% |
| Charitable organizations | 6 | $27.8M | 3.48% |
| Corporations and other businesses | Fewer than 5 clients | $488K | 0.06% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Statcare 401(k) & Profit Sharing Plan Newstat, Pllc | 2024 | |
| The Production Hive, Llc 401(k) Plan The Production Hive, Llc | 2024 |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Norton Goodson | Principal & Advisor | CFA | Jul 1986 (40y) | 50% – 75% |
| Neil Walker Goodson | Principal, Advisor & Chief Compliance Officer | CFA | Apr 2017 (9y) | 50% – 75% |
| James Nicholas Proffitt | Registered representative | Jan 2004 (23y) | ||
| Michael Stephen Cermak | Registered representative | CFA | Aug 2015 (11y) | |
| Connor Andrew Cox | Registered representative | CFP | Dec 2024 (2y) | |
| Michael Connor Seelman | Registered representative | Sep 2025 (1y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Statcare 401(k) & Profit Sharing Plan | Newstat, Pllc | 219 | $81.8M | 01/01/2024 |
| The Production Hive, Llc 401(k) Plan | The Production Hive, Llc | 225 | $8.0M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/15/2026 | 913 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Other fees
- • A PERCENTAGE OF PLAN ASSETS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $753M (94% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 15, 2026.
View current Form ADV (SEC/IAPD) ↗