Greater Knoxville Book of Lists | Knoxville Business Journal

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Knoxville-Area Financial Planners Ranked by Number of Certified Financial Planners, then Employment
Rank
'18
'17CompanyPhone
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
12UBS 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
10 / 47
$2,864,000,000
NA
NA / NA
60%/40% / NA
NA
Chris L. L. Cannon
Branch manager
19431
21Merrill Lynch
800 S. Gay St., Ste. 2200
Knoxville, TN 37929
865-521-8800
ml.com
NA
Bank of America
Charlotte, NC
9 / 41
NA
NA
NA / NA
NA/NA / NA
Merrill Lynch
James L. Cagle
Senior vice president, wealth management
1972
33Rather & Kittrell
11905 Kingston Pike
Knoxville, TN 37934
865-218-8400
rkcapital.com
1
NA
NA
7 / 22
$661,864,079
NA
65% / 35%
90%/10% / NA
Fidelity Investments
Lytle Rather
President
2000
44Patriot Investment Management
9721 Cogdill Road, Ste. 101
Knoxville, TN 37932
865-777-2479
patriotinvestment.com
1
NA
NA
7 / 21
$838,600,485
1,489
80% / 20%
NA/NA / 100%
Charles Schwab & Co.
Brad Bower
President
1993
56The Trust Company of Tennessee
4823 Old Kingston Pike, Ste. 100
Knoxville, TN 37919
865-971-1902
thetrust.com
1
NA
NA
5 / 70
$3,164,000,000
NA
55% / 45%
100%/NA / NA
NA
Sharon Pryse
Chairman, CEO
1987
65Wells Fargo Advisors
265 Brookview Centre Way, Ste. 100
Knoxville, TN 37919
865-560-2600
wellsfargoadvisors.com
NA
Wells Fargo Advisors
St. Louis, MO
5 / 33
NA
NA
85% / 15%
70%/30% / NA
Wells Fargo Advisors
Ken E. Hayes
Branch manager, first vice president - investments
1995
77Meridian Trust & Investment Co.
109 S. Northshore Drive
Knoxville, TN 37919
865-342-4400
trustmeridian.com
1
NA
NA
4 / 18
$716,921,300
656
50% / 50%
100%/NA / NA
NA
Tom Coulter
President
1997
811Waypoint Financial Partners2
1322 Dowell Springs Blvd.
Knoxville, TN 37909
865-588-9333
ImbreyandAssociates.com
1
AXA Advisors
New York, NY
4 / 3
$410,000,000
1,030
75% / 25%
65%/30% / 5%
Linsco Private Ledger / AXA Advisors
Jacki S. Imbrey
Richard M. Imbrey
David H. Jeffries
Eric R. Theiss
General partner
Partner
Partner
Associate
1983
99Fidelity 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, branch office manager
2010
1014Phillips Jones Wealth Management
4509 Papermill Drive
Knoxville, TN 37909
865-212-2376
phillipsjoneswealthmanagement.com
2
Ameriprise Financial Services
Minneapolis, MN
3 / 11
NA
NA
80% / 20%
80%/10% / 10%
Ameriprise Financial
Steven A. Phillips
CFP, MBA, CLU, AEP
1996
1110PYA Waltman Capital, LLC
2076 Lakeside Centre Way
Knoxville, TN 37922
865-693-6301
pyawaltman.com
1
NA
NA
3 / 10
$631,000,000
NA
NA / NA
NA/NA / 100%
Various
J. William Waltman, Jr.
Melissa Ballard
President
Director of Financial Planning Services
2005
1216TAsset Planning Corporation
234 S. Peters Road, Ste. 102
Knoxville, TN 37923
888-690-1231
AssetPlanningCorp.com
1
NA
NA
3 / 7
$211,000,000
189
95% / 5%
0%/0% / 100%
Charles Schwab & Co.
Paul K. Fain
President
1975
1312The Nalls Sherbakoff Group
9724 Kingston Pike
Knoxville, TN 37922
865-691-0898
nallssherbakoff.com
1
NA
NA
3 / 5
$185,030,500
355
95% / 5%
NA/NA / 100%
Charles Schwab & Co
Donald E. Nalls
T. Lee Sherbakoff
Partner
Managing partner
2014
1413Northwestern Mutual - Knoxville3
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
15NRThe Trentham Urquhart Group
1309 Kalmia Road
Knoxville, TN 37909
865-588-4484
ameripriseadvisors.com/team/the-trentham-group
3
Ameriprise Financial
Minneapolis, MN
2 / 17
$410,000,000
1,290
95% / 5%
75%/25% / NA
NA
Brent L. Trentham
CFP
1990
1615Quality Financial Concepts
115 W. Broadway Ave.
Maryville, TN 37801
865-984-3550
qualityfinancial.com
NA
NA
NA
2 / 8
NA
NA
95% / 5%
55%/45% / NA
TD Ameritrade, Pershing
Doug Horn
M. Shane Smith
CFP, owner, founder
CFP
2001
1716TVisionary Horizons Wealth Management
620 Mabry Hood Road, Ste. 102
Knoxville, TN 37932
865-675-8496
visionaryhorizons.com
2
NA
NA
2 / 7
$115,000,000
550
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 Formerly Imbrey & Associates, CERTIFIED FINANCIAL PLANNER™ professionals; 3 Source declined to participate. Information from 2017 survey; 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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