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

Rank '18	'17	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	10 / 47 $2,864,000,000 NA	NA / NA 60%/40% / NA NA	Chris L. L. Cannon Branch Manager 19431
2	1	Merrill 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
3	3	Rather & 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
4	4	Patriot Investment Management 9721 Cogdill Road, Ste. 101 Knoxville, TN 37932	865-777-2479 patriotinvestment.com 1	NA NA	7 / 20 $838,600,485 1,489	80% / 20% NA/NA / 100% Charles Schwab & Co.	Brad Bower President 1993
5	6	The 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
6	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	5 / 33 NA NA	85% / 15% 70%/30% / NA Wells Fargo Advisors	Ken E. Hayes Branch Manager, First Vice President - Investments 1995
7	7	Meridian 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
8	11	Waypoint 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
9	9	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, Branch Office Manager 2010
10	14	Phillips 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
11	10	PYA 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
12	16T	Asset 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
13	12	The Nalls Sherbakoff Group 9724 Kingston Pike Knoxville, TN 37922	865-691-0898 nallssherbakoff.com 1	NA NA	3 / 6 $185,030,500 355	95% / 5% NA/NA / 100% Charles Schwab & Co	Donald E. Nalls T. Lee Sherbakoff Partner Managing partner 2014
14	13	Northwestern 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
15	NR	The 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
16	16T	Visionary Horizons Wealth Management 620 Mabry Hood Road, Ste. 102 Knoxville, TN 37932	865-675-8496 visionaryhorizons.com 3	Visionary Horizons, LLC Knoxville, TN	2 / 9 $130,000,000 550	250% / 15% 85%/15% / NA Schwab Institutional, TD Ameritrade	Roger Kiger CEO 2008
17	15	Quality 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

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
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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