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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 '19 '18 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 10 / 47 $2,939,000,000 NA NA / NA 60%/40% / NA NA Chris L. L. Cannon Branch manager 19431 2 2 Merrill Lynch 800 S. Gay St., Ste. 2200 Knoxville, TN 37929 865-521-8800 ml.com 2 Bank of America Charlotte, NC 10 / 42 NA NA NA / NA NA/NA / NA Merrill Lynch James L. Cagle Senior Vice President, Wealth Management 1972 3 8 Waypoint Financial Partners, LLC2 1322 Dowell Springs Blvd. Knoxville, TN 37909 865-588-9333 ImbreyandAssociates.com 6 AXA Advisors New York, NY 8 / 32 $1,000,000,600 2,000 75% / 25% 65%/30% / 5% Linsco Private Ledger / AXA Advisors Jacki S. Imbrey Richard M. Imbrey David H. Jeffries Eric R. Theiss Partner Partner Partner Associate 1983 4 4 Patriot Investment Management 9721 Cogdill Road, Ste. 101 Knoxville, TN 37932 865-777-2479 patriotinvestment.com 1 NA NA 8 / 22 $919,813,624.9 1,573 80% / 20% NA/NA / 100% Charles Schwab & Co. Brad Bower President 1993 5 NR Securities Service Network 9729 Cogdill Road, Ste. 301 Knoxville, TN 37932 865-777-4677 ssnetwork.com 1 Ladenburg Thalmann Financial Services Miami, FL 7 / 69 NA NA 100% / 0% 47%/53% / NA NA Wade Wilkinson President, CEO 1983 6 3 Rather & Kittrell 11905 Kingston Pike Knoxville, TN 37934 865-218-8400 rkcapital.com 1 NA NA 7 / 21 $728,221,572 NA 65% / 35% 95%/5% / NA Fidelity Investments Lytle Rather President 2000 7 5 The Trust Company of Tennessee 4823 Old Kingston Pike, Ste. 100 Knoxville, TN 37919 865-971-1902 thetrust.com 1 NA NA 6 / 74 $3,396,000,000 NA 62% / 38% 100%/NA / NA NA Sharon Pryse Chairman, CEO 1987 8 6 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 / 33 NA NA 85% / 15% 70%/30% / NA Wells Fargo Advisors Ken E. Hayes Branch Manager, First Vice President - Investments 1995 9 7 Meridian Trust & Investment Co. 109 S. Northshore Drive Knoxville, TN 37919 865-342-4400 trustmeridian.com 1 NA NA 4 / 18 $750,000,000 NA 50% / 50% 100%/NA / NA NA Tom Coulter President 1997 10 10 Fidelity Investments 11513 Parkside Drive Knoxville, TN 37934 865-288-1796 fidelity.com 1 Fidelity Investments Boston, MA 4 / 14 NA NA NA / NA NA/NA / NA Fidelity Investments Joseph Siragusa Vice President, Branch Manager 2010 11 12 PYA Waltman Capital, LLC 2076 Lakeside Centre Way Knoxville, TN 37922 865-693-6301 pyawaltman.com 1 NA NA 4 / 11 $631,000,000 NA NA / NA NA/NA / 100% Various J. William Waltman, Jr. Melissa Ballard President Director of Financial Planning Services 2005 12 17 Visionary Horizons Wealth Management 620 Mabry Hood Road, Ste. 102 Knoxville, TN 37932 865-675-8496 visionaryhorizons.com 3 Visionary Horizons, LLC Knoxville, TN 4 / 7 $130,000,000 300 90% / 10% 90%/5% / 5% Schwab Institutional, TD Ameritrade Roger Kiger CEO 2008 13 9 Tennessee Valley Asset Management Partners 6025 Brookvale Lane, Ste. 160 Knoxville, TN 37919 865-226-9982 tvamp.net 5 NA NA 3 / 21 NA NA NA / NA NA/NA / NA LPL Financial Jeff Foster Scott Fisher Jeff Sweat CCO, CFP Wealth advisor MBA 2012 14 11 Phillips Jones Wealth Management 4509 Papermill Drive Knoxville, TN 37909 865-212-2376 phillipsjoneswealthmanagement.com 2 Ameriprise Financial Services Minneapolis, MN 3 / 10 NA NA 80% / 20% 80%/10% / 10% Ameriprise Financial Steven A. Phillips CFP, MBA, CLU, AEP 1996 15 13 Asset Planning Corporation 234 S. Peters Road, Ste. 102 Knoxville, TN 37923 888-690-1231 AssetPlanningCorp.com 1 NA NA 3 / 7 $200,000,000 195 97% / 3% 0%/0% / 100% Charles Schwab & Co. Paul K. Fain President 1975 16 14 The Nalls Sherbakoff Group 9724 Kingston Pike Knoxville, TN 37922 865-691-0898 nallssherbakoff.com 1 NA NA 3 / 6 $206,036,000 355 95% / 5% NA/NA / 100% Charles Schwab & Co Donald E. Nalls T. Lee Sherbakoff Partner Managing partner 2014 17 15 Northwestern Mutual - Knoxville 110 Triplett Lane Knoxville, TN 37922 865-251-5100 nm-knoxville.com 1 Northwestern Mutual Milwaukee, WI 2 / 43 $1,200,000,000 8,000 75% / 25% 50%/47% / 3% Northwestern Mutual Investment Services Kevin S. Proffitt Managing director3 1857 1 In local market. UBS parent company founded in 1862; 2 Formerly Imbrey & Associates, CERTIFIED FINANCIAL PLANNER™ professionals; 3 Wealth management advisor 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.