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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 '21 '20 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 2 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 13 / 46 $4,227,000,000 NA NA / NA 65%/35% / NA NA Chris L. Cannon Branch manager 19431 2 6 Rather & Kittrell 11905 Kingston Pike Knoxville, TN 37934 865-218-8400 rkcapital.com 1 NA NA 11 / 23 $10,573,647 NA 80% / 20% 100%/0% / NA Fidelity Investments Lytle Rather President 2000 3 1 Merrill Lynch2 800 S. Gay St., Ste. 2200 Knoxville, TN 37929 865-521-8800 ml.com 2 Bank of America Charlotte, NC 11 / NA NA NA NA / NA NA/NA / NA Merrill Lynch James L. Cagle Senior VP, wealth management 1972 4 3 The Trust Company of Tennessee 4823 Old Kingston Pike, Ste. 100 Knoxville, TN 37919 865-971-1902 thetrust.com 1 NA NA 9 / 80 NA NA NA / NA 100%/NA / NA NA Sharon Pryse Daniel Carter CEO, founder President 1987 5 4 Waypoint Financial Partners, LLC3 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 $1,450,000,000 2,400 75% / 25% 65%/30% / 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 6 5 Patriot Investment Management 9721 Cogdill Road, Ste. 101 Knoxville, TN 37932 865-777-2479 patriotinvestment.com 1 NA NA 8 / 26 $1,472,685,853 1,786 80% / 20% NA/NA / 100% Charles Schwab & Co. Brad Bower President 1993 7 9 Tennessee Valley Asset Management Partners 6025 Brookvale Lane, Ste. 160 Knoxville, TN 37919 865-226-9982 tvamp.net 4 NA NA 6 / 26 NA NA NA / NA NA/NA / NA LPL Financial Jeff Foster Scott Fisher Jeff Sweat CCO, CFP CFP CFP 2011 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 NR First Horizon Advisors 4315 Kingston Pike, Suite 302 Knoxville, TN 37919 865-971-2100 firsthorizon.com 9 First Horizon National Corp. Memphis, TN 5 / 27 $1,645,000,000 6,000 90% / 10% 60%/40% / NA NA Harold Robertson SVP, managing director 1993 10 11 Fidelity Investments 11513 Parkside Drive Knoxville, TN 37934 865-288-1796 fidelity.com 1 Fidelity Investments Boston, MA 4 / 21 NA NA NA / NA NA/NA / NA Fidelity Investments Joseph Siragusa Vice president, branch manager 2010 11 10 Meridian Trust & Investment Co. 109 S. Northshore Drive Knoxville, TN 37919 865-342-4400 trustmeridian.com 1 NA NA 4 / 17 $1,050,000,000 NA 50% / 50% 100%/NA / NA NA Tom Coulter President 1997 12 12 PYA Waltman Capital, LLC2 1402 Ebenezer Road Knoxville, TN 37922 865-693-6301 pyawaltman.com 1 NA NA 4 / 14 NA NA NA / NA NA/NA / 100% Various J. William Waltman, Jr. Melissa Ballard President Director of financial planning services 2005 13 13 Northwestern Mutual - Knoxville 110 Triplett Lane Knoxville, TN 37922 865-251-5100 nm-knoxville.com 1 Northwestern Mutual Milwaukee, WI 3 / 50 $725,527,829 10,610 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 14 NR 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 / 20 $395,000,000 1,130 95% / 5% 90%/5% / 5% Cetera Doug Webster John Majors Ryan Manaker Sean G. King Managing director Managing director Wealth manager Managing director 2005 15 14 Phillips Jones Wealth Management 4509 Papermill Drive Knoxville, TN 37909 865-212-2376 phillipsjoneswealthmanagement.com 2 Ameriprise Financial Services Minneapolis, MN 3 / 12 $290,000,000 NA 90% / 10% 80%/10% / 10% Ameriprise Financial Phillip B. Jones CFP, APMA 1996 16 15 Asset Planning Corporation 234 S. Peters Road, Ste. 102 Knoxville, TN 37923 888-690-1231 assetplanningcorp.com 1 NA NA 3 / 8 $267,000,000 213 211% / 2% 0%/0% / 100% Charles Schwab & Co. Paul K. Fain Executive chairman, CFP 1975 17 15 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 / 6 $170,000,000 500 90% / 10% 90%/5% / 5% Schwab Institutional, TD Ameritrade Roger Kiger CEO 2008 18 NR Heritage Investors 408 Ebenezer Road Knoxville, TN 37923 865-690-1155 heritageinvestor.com 1 NA NA 2 / 10 NA 225 85% / 15% 15%/NA / 85% NA Jeff Jeter Executive director of financial planning 2009 19 15 The Nalls Sherbakoff Group 9724 Kingston Pike Knoxville, TN 37922 865-691-0898 nallssherbakoff.com 1 NA NA 2 / 4 $236,100,000 345 91% / 9% NA/NA / 100% Charles Schwab & Co. Donald E. Nalls T. Lee Sherbakoff Partners 2014 1 In local market. UBS parent company founded in 1862; 2 Information from 2020 survey and company website; 3 Formerly Imbrey & Associates 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.