ProFocus provides financial planning and portfolio management for individuals and small businesses. Financial planning was provided to 101–250 clients last fiscal year.
ProFocus reports 152 clients. They include 93 individual clients, 46 high-net-worth individuals, and 13 corporations and other businesses. Of its assets, 100.0% ($157M across 529 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 61% | 22% |
| High-net-worth individuals | 30% | 77% |
| Corporations and other businesses | 9% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 93 | $34.9M | 22.3% | $376K |
| High-net-worth individuals | 46 | $120M | 77.0% | $2.62M |
| Corporations and other businesses | 13 | $1.12M | 0.7% | $86.4K |
| Total | 152 | $157M | 100% | $1.03M |
- Clients
- 93
- Regulatory AUM
- $34.9M
- AUM share
- 22.3%
- Avg. per client
- $376K
- Clients
- 46
- Regulatory AUM
- $120M
- AUM share
- 77.0%
- Avg. per client
- $2.62M
- Clients
- 13
- Regulatory AUM
- $1.12M
- AUM share
- 0.7%
- Avg. per client
- $86.4K
Total
- Clients
- 152
- Regulatory AUM
- $157M
- AUM share
- 100%
- Avg. per client
- $1.03M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 101–250
ProFocus is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees). The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Hourly fee
- Investment advisory, financial planning and business management services are billed at $325 an hour, which may be negotiated in advance.
Michael Smith owns 75% or more of ProFocus. The leadership team of ProFocus includes President Michael Smith. It has 7 employees, 2 of them in advisory roles.
Staff
- 7 employees
- 2 in advisory functions
- 2 state-registered reps
- 1 broker-dealer rep
- 1 soliciting firm
- Owns 75% or more of Profocus, Incorporated
Michael Smith
Control person · since October 1998
ProFocus’ regulatory assets grew from $111M (May 2022) to $157M (July 2026); clients fell from 210 to 152 and employees rose from 2 to 7.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Jul 2026July 2026 | $157M | 152 | 7 | 3 |
| Mar 2025March 2025 | $151M | 329 | 6 | 2 |
| Feb 2024February 2024 | $121M | 260 | 4 | 2 |
| Mar 2023March 2023 | $114M | 220 | 3 | 2 |
| May 2022May 2022 | $111M | 210 | 2 | 2 |
Besides its headquarters, ProFocus has 2 offices (1 private residence, listed without an address), with 2 listed addresses across 2 states.
Arizona · 1 listed address
- 5010 East Warner Road, Suite 202, PhoenixHQ
Virginia · 1 listed address
- 2800 Eisenhower Ave., Alexandria
Contact and registration details
- Legal name
- Profocus, Incorporated
- Headquarters
- 5010 East Warner Road, Suite 202, Phoenix, AZ 85044-3374
- Website
- profocus.com
- Phone
- 480-598-9960
- SEC file
- 801-124789
- Structure
- Arizona corporation
- Fiscal year end
- December
ProFocus’ named custodian for separately managed accounts is Charles Schwab ($157M). ProFocus does not have custody of client assets.
The filed custodian amounts total more than regulatory assets under management. Each amount is shown as filed.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $157M100%
At year end, ProFocus’ separately managed accounts were mostly in stocks (88%) and cash (10%).
What the accounts hold
- Stocks88%
- Bonds2%
- Cash10%
How many clients does ProFocus have?
ProFocus has 152 clients and manages $157 million for them, as of July 2026. They include 93 individual clients, 46 high-net-worth individuals, and 13 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 1 July 2026
What services does ProFocus offer?
ProFocus provides financial planning and portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does ProFocus use?
ProFocus’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $157M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 1 July 2026
How many financial advisors does ProFocus have?
ProFocus has 2 investment adviser representatives registered with state securities authorities, out of 7 employees, and 2 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 0 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does ProFocus invest in?
At the end of its last fiscal year, ProFocus’ separately managed accounts held 88% exchange-traded equities, 10% cash and equivalents and 2% U.S. government and agency bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns ProFocus?
ProFocus’ direct owner is Michael Smith (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 1 July 2026
How does ProFocus get paid?
ProFocus is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact ProFocus?
ProFocus’ main office is at 5010 East Warner Road, Suite 202, Phoenix, AZ 85044-3374. Its phone number is 480-598-9960. Its website is profocus.com.