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Prefer PDFs? A printer-friendly PDF of this list is available. Download PDF file Prefer Excel? A complete spreadsheet of this list is available. Download Excel file Knoxville-Area Financial Planners Ranked by Number of Certified Financial Planners, then Employment Rank '22 '21 Company Phone Website Local offices Parent co. Parent HQ Local CFPs/Ttl. empl. Assets under local mgt. No. of clients % indiv./ corp. clients % fee-based/comm./fee-only Brokerage used Top local executive Founded locally 1 1 UBS Global Wealth Management 800 S. Gay St., Ste. 2600 Knoxville, TN 37929 865-522-5183 ubs.com/branch/knoxvilleka 2 UBS Financial Services Zurich/Basel, Switzerland 14 / 50 $5,465,000,000 NA NA / NA 65%/35% / NA NA Chris L. Cannon Executive director 19431 2 2 Rather & Kittrell 11905 Kingston Pike Knoxville, TN 37934 865-218-8400 rkcapital.com 1 NA NA 10 / 21 $1,271,370,168 NA 80% / 20% 100%/0% / NA Fidelity Investments Lytle Rather President 2000 3 4 The Trust Company of Tennessee 4823 Old Kingston Pike, Ste. 100 Knoxville, TN 37919 865-971-1902 thetrust.com 1 NA NA 92 / 98 NA NA NA / NA 100%/NA / NA NA Sharon Pryse Daniel Carter CEO, founder President 1987 4 5 Waypoint Financial Partners, LLC 1322 Dowell Springs Blvd. Knoxville, TN 37909 865-588-9333 waypointknoxville.com 6 Equitable Advisors AXA Advisors New York, NY New York, NY 9 / 34 $1,500,000 2,850 80% / 20% 70%/25% / 5% Linsco Private Ledger / Equitable Advisors Jacki S. Imbrey, CFP, RICP David H. Jeffries, CFP, RICP John Roberts, MBA Richard M. Imbrey Eric R. Theiss Partner Partner Associate Partner Associate 1983 5 3 Merrill Lynch 800 S. Gay St., Ste. 2200 Knoxville, TN 37929 865-521-8800 ml.com 2 Bank of America Charlotte, NC 9 / 29 NA NA NA / NA NA/NA / NA Merrill Lynch James L. Cagle Senior VP, wealth management 1972 6 7 Tennessee Valley Asset Management Partners 6025 Brookvale Lane, Ste. 160 Knoxville, TN 37919 865-226-9982 tvamp.net 4 NA NA 8 / 28 NA NA NA / NA NA/NA / NA LPL Financial Jeff Foster Scott Fisher Jeff Sweat Luke A Bowes CCO, CFP CFP CFP COO, CFA 2011 7 6 Patriot Investment Management 9721 Cogdill Road, Ste. 101 Knoxville, TN 37932 865-777-2479 patriotinvestment.com 3 NA NA 8 / 26 $1,470,075,603.5 1,882 80% / 20% NA/NA / 100% Charles Schwab & Co. Brad Bower President 1993 8 8 Wells Fargo Advisors 265 Brookview Centre Way, Ste. 100 Knoxville, TN 37919 865-560-2600 wellsfargoadvisors.com NA Wells Fargo Advisors St. Louis, MO 5 / 35 NA NA 85% / 15% 80%/20% / NA Wells Fargo Advisors Ken E. Hayes Branch manager, first VP, investments 1995 9 9 First Horizon Advisors 4315 Kingston Pike, Suite 302 Knoxville, TN 37919 865-971-2100 firsthorizon.com 35 First Horizon National Corp. Memphis, TN 4 / 653 $179,608,694.8 8,607 90% / 10% 60%/40% / NA NA Harold Robertson SVP, managing director 1993 10 13 Northwestern Mutual - Knoxville 110 Triplett Lane Knoxville, TN 37922 865-251-5100 nm-knoxville.com 2 Northwestern Mutual Milwaukee, WI 4 / 50 $698,278,424 10,889 85% / 15% 50%/45% / 5% Northwestern Mutual Wealth Management Company Jim LaPinska Mark Pancratz CFP, ChFC, CLU, Managing director, wealth management advisor Managing director, financial advisor 1857 11 10 Fidelity Investments 11513 Parkside Drive Knoxville, TN 37934 865-288-1796 fidelity.com 1 Fidelity Investments Boston, MA 4 / 25 NA NA NA / NA NA/NA / NA Fidelity Investments Joseph Siragusa Vice president, branch manager 2010 12 11 Meridian Trust & Investment Co. 109 S. Northshore Drive Knoxville, TN 37919 865-342-4400 trustmeridian.com 1 NA NA 4 / 17 $1,000,000,000 NA 50% / 50% 100%/NA / NA NA Tom Coulter President 1997 13 12 PYA Waltman Capital, LLC 1402 Ebenezer Road Knoxville, TN 37922 865-693-6301 pyawaltman.com 1 NA NA 4 / 16 $1,017,643,452 NA NA / NA NA/NA / 100% Various J. William Waltman, Jr. Melissa Ballard President Director of financial planning services 2005 14 14 SageView Advisory Group 1111 N. Northshore Drive, Ste. N-325 Knoxville, TN 37919 865-293-4051 sageviewadvisory.com 1 SageView Advisory Group Newport Beach, CA 3 / 25 $557,000,000 1,103 95% / 5% 90%/5% / 5% Cetera Doug Webster John Majors Ryan Manaker Sean G. King Managing Director Managing Director Managing Director Managing director 2005 15 15 Vantage Point Financial Planning 4509 Papermill Drive Knoxville, TN 37909 865-212-2376 vantagepointfinancialplanning.com 2 Ameriprise Financial Services Minneapolis, MN 3 / 10 $300,000,000 1,000 90% / 10% 85%/5% / 10% Ameriprise Financial Phillip B. Jones CFP, APMA, BFA 1996 16 17 Visionary Horizons Wealth Management 620 Mabry Hood Road, Ste. 102 Knoxville, TN 37932 865-675-8496 visionaryhorizons.com 2 Visionary Horizons, LLC Knoxville, TN 3 / 9 $206,816,746 421 411% / 10% 99%/1% / 0% Schwab Institutional, TD Ameritrade Roger Kiger CEO 2008 17 16 Asset Planning Corporation 234 S. Peters Road, Ste. 102 Knoxville, TN 37923 888-690-1231 assetplanningcorp.com 1 NA NA 3 / 8 $300,000,000 224 223% / 1% 0%/0% / 100% Charles Schwab & Co. Joe N Ottaviano Paul K. Fain President, owner Executive chairman, CFP 1975 18 19 The Nalls Sherbakoff Group 9724 Kingston Pike Knoxville, TN 37922 865-691-0898 nallssherbakoff.com 1 NA NA 3 / 7 $235,124,000 345 NA / NA NA/NA / 100% Charles Schwab & Co. Donald E. Nalls T. Lee Sherbakoff Partners 2014 19 18 WealthSource Partners 10641 Deerbrook Dr. Suite 100 Knoxville, TN 37922 865-690-1155 wealthsource.com 1 WealthSource NA 2 / 7 NA NA 85% / 15% 15%/NA / 85% NA Justin Goodbread President 2009 1 In local market. UBS parent company founded in 1862; 2 Information from 2021 survey Source: Individual company representatives, individual company websites. NA=not applicable or not available. Area includes Anderson, Blount, Campbell, Claiborne, Cocke, Grainger, Greene, Hamblen, Hancock, Hawkins, Jefferson, Knox, Loudon, McMinn, Meigs, Monroe, Morgan, Roane, Scott, Sevier and Union counties. This list and other Knoxville-area market data are available as an Excel spreadsheet at www.knoxvillebiz.com. If you notice an error or omission, please contact Hayley Choy at 865-342-6494 or lists@knoxvillebiz.com.