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Knoxville-Area Financial Planners Ranked by Number of Certified Financial Planners, then Employment

Rank '17	'16	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	Merrill Lynch 800 S. Gay St., Ste. 2200 Knoxville, TN 37929	865-521-8800 ml.com NA	Bank of America Charlotte, NC	10 / 37 NA NA	NA / NA NA/NA / NA Merrill Lynch	James L. Cagle Senior vice president, wealth management 1972
2	2	UBS Financial Services 800 S. Gay St., Ste. 2600 Knoxville, TN 37929	865-522-5183 ubs.com/branch/knoxvilleka 2	UBS Financial Services Zurich/Basel, Switzerland	8 / 43 $2,664,000,000 NA	NA / NA NA/NA / NA NA	Chris Cannon Branch manager 19431
3	3	Rather & Kittrell 11905 Kingston Pike Knoxville, TN 37934	865-218-8400 rkcapital.com 1	NA NA	8 / 19 $503,771,104 NA	65% / 35% 90%/10% / NA Fidelity Investments	Lytle Rather President 2000
4	6	Patriot Investment Management 9721 Cogdill Road, Ste. 101 Knoxville, TN 37932	865-777-2479 patriotinvestment.com 1	NA NA	7 / 19 $760,785,132 NA	NA / NA NA/NA / 100% Charles Schwab & Co.	Brad Bower President 1993
5	5	Wells Fargo Advisors 265 Brookview Centre Way, Ste. 100 Knoxville, TN 37919	865-560-2600 wellsfargoadvisors.com NA	Wells Fargo Advisors St. Louis, MO	6 / 36 NA NA	85% / 15% 70%/30% / NA Wells Fargo Advisors	Ken E. Hayes Branch Manager, Vice President - Investments 1995
6	8	The Trust Company of Knoxville 4823 Old Kingston Pike, Ste. 100 Knoxville, TN 37919	865-971-1902 thetrust.com 1	NA NA	5 / 68 $2,600,000,000 NA	55% / 45% 100%/NA / NA NA	Sharon Pryse Chairman, CEO 1987
7	9	Meridian Trust & Investment Co. 109 S. Northshore Drive Knoxville, TN 37919	865-342-4400 trustmeridian.com 1	NA NA	4 / 17 $618,000,000 652	50% / 50% 100%/NA / NA NA	Tom Coulter President 1997
8	NR	Tennessee Valley Asset Management Partners 6025 Brookvale Lane, Ste. 160 Knoxville, TN 37919	865-226-9982 tvamp.net 5	NA NA	3 / 19 NA NA	98% / 2% 70%/30% / NA LPL Financial	Jeff Foster Scott Fisher Jeff Sweat CCO, CFP Wealth advisor MBA 2012
9	10	Fidelity Investments 11513 Parkside Drive Knoxville, TN 37934	865-288-1796 fidelity.com 1	Fidelity Investments Boston, MA	3 / 13 NA NA	NA / NA NA/NA / NA Fidelity Investments	John Akeroyd Vice President and Branch Office Manager 2010
10	11	PYA Waltman Capital 2076 Lakeside Centre Way Knoxville, TN 37922	865-693-6301 pyawaltman.com 1	NA NA	3 / 10 $549,277,000 313	NA / NA NA/NA / 100% Various	J. William Waltman Jr. President 2005
11	12	Imbrey & Associates, CERTIFIED FINANCIAL PLANNER™ professionals 1322 Dowell Springs Blvd. Knoxville, TN 37909	865-588-9333 ImbreyandAssociates.com 1	AXA Advisors New York, NY	3 / 6 $423,000,000 1,040	75% / 25% 65%/30% / 5% Linsco Private Ledger / AXA Advisors	Jacki S. Imbrey2 Richard M. Imbrey3 David H. Jeffries3 General Partner 1983
12	NR	The Nalls Sherbakoff Group 9724 Kingston Pike Knoxville, TN 37922	865-691-0898 nallssherbakoff.com 1	NA NA	3 / 4 NA 350	NA / NA NA/NA / NA Charles Schwab & Co	Donald E. Nalls T. Lee Sherbakoff Partner Managing partner 2014
13	15	Northwestern Mutual - Knoxville 110 Triplett Lane Knoxville, TN 37922	865-251-5100 nm-knoxville.com 1	Northwestern Mutual Milwaukee, WI	2 / 35 $1,100,000,000 8,000	75% / 25% 30%/65% / 5% Northwestern Mutual Investment Services	Kevin S. Proffitt Managing director4 1857
14	16	Phillips Jones Wealth Management 4509 Papermill Drive Knoxville, TN 37909	865-212-2376 phillipsjoneswealthmanagement.com NA	Ameriprise Financial Services Minneapolis, MN	2 / 11 NA NA	80% / 20% 80%/10% / 10% NA	Steven A. Phillips CFP, MBA, CLU, AEP 1996
15	18	Quality Financial Concepts 115 W. Broadway Ave. Maryville, TN 37801	865-984-3550 qualityfinancial.com 1	NA NA	2 / 8 $88,000,000 NA	95% / 5% 55%/45% / NA TD Ameritrade, Pershing	Doug Horn M. Shane Smith CFP, owner, founder CFP 2001
16	13	Asset Planning Corporation 234 S. Peters Road, Ste. 102 Knoxville, TN 37923	888-690-1231 AssetPlanningCorp.com 1	NA NA	2 / 7 $189,000,000 170	95% / 5% 100%/0% / NA Charles Schwab & Co.	Paul K. Fain President 1975
16	14	Visionary Horizons Wealth Management 620 Mabry Hood Road, Ste. 102 Knoxville, TN 37932	865-675-8496 visionaryhorizons.com 2	Visionary Horizons Wealth Management Knoxville, TN	2 / 7 $110,000 500	250% / 15% 85%/15% / NA Schwab Institutional, TD Ameritrade	Roger Kiger Chief manager5 2008

1 In local market. UBS parent company founded in 1862; 2 General partner; 3 Partner; 4 Wealth management advisor; 5 Wealth strategist
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 Angela Akers at 865-342-6424 or lists@knoxvillebiz.com.

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