Greater Knoxville Book of Lists | Knox.biz

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Knoxville-Area Financial Planners Ranked by Number of Certified Financial Planners, then Employment
Rank
'21
'20CompanyPhone
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
13 / 46
$4,227,000,000
NA
NA / NA
65%/35% / NA
NA
Chris L. Cannon
Branch manager
19431
26Rather & 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
31Merrill 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
43The 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
54Waypoint 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
65Patriot 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
79Tennessee 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
88Wells 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
9NRFirst 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
1011Fidelity 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
1110Meridian 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
1212PYA 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
1313Northwestern 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
14NRSageView 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
1514Phillips 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
1615Asset 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
1715Visionary 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
18NRHeritage 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
1915The 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.

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