Greater Knoxville Book of Lists | Knox.biz

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Knoxville-Area Registered Investment Advisory Firms Ranked By Assets Under Local Management
Rank
'22
'21CompanyPhone
Website
Brokerage used
Total employees
Advisory1 / reg. reps. / analysts2
Local offices / cities
Assets under local mgmt.
Discretionary / non-dis.
Total # of accounts
Min. account size
Avg. account size
% Clients
Indiv./corp./charity
Fee-based/comm./other
Top local executive
Founded locally
12Patriot Investment Management
9721 Cogdill Road, Ste. 101
Knoxville, TN 37932
865-777-2479
patriotinvestment.com
Charles Schwab & Co.
26
17 / 17 / 1
3 / Knoxville & Crossville
$1,470,075,604
$1,465,768,155 / $4,307,448
4,899
NA
NA
80% / 20% / NA
100% / NA / NA
Brad Bower
President
1993
21Martin & Company
Two Centre Square
Knoxville, TN 37902-1669
865-541-4747
martin-co.com
Client directed
8
6 / NA / 5
1 / Knoxville
$1,464,388,511
$1,464,388,511 / NA
121
$500,000
$12,102,384
87% / 8% / 5%
100% / 0% / 0%
Michael W. Holt
President
1989
33Rather & Kittrell
11905 Kingston Pike
Knoxville, TN 37934
865-218-8400
rkcapital.com
Fidelity Investments
21
14 / NA / 1
1 / Knoxville
$1,271,370,168
NA / NA
NA
NA
NA
80% / 20% / NA
100% / 0% / NA
Lytle Rather
President
2000
44PYA Waltman Capital, LLC
1402 Ebenezer Road
Knoxville, TN 37922
865-693-6301
pyawaltman.com
Various
16
7 / 7 / 1
1 / Knoxville
$1,017,643,452
NA / NA
NA
NA
NA
92% / 7% / 1%
100% / NA / NA
J. William Waltman, Jr.
Melissa Ballard
President
Director of financial planning services
2005
56Tennessee Valley Asset Management Partners
6025 Brookvale Lane, Ste. 160
Knoxville, TN 37919
865-226-9982
tvamp.net
LPL Financial
28
17 / 16 / 1
4 / Knoxville, Seymour, LaFollette, Oak Ridge
$632,145,647
$621,404,856 / $10,740,791
NA
NA
NA
NA / NA / NA
NA / NA / NA
Jeff Foster
Scott Fisher
Jeff Sweat
Luke A Bowes
CCO, CFP
CFP
CFP
COO, CFA
2011
65Proffitt & Goodson
4800 Old Kingston Pike, Ste. 200
Knoxville, TN 37919
865-584-1850
proffittgoodson.com
Various
9
6 / NA / 3
NA / Knoxville
$614,630,566
$601,104,674 / $13,525,892
NA
NA
NA
NA / NA / NA
100% / NA / NA
David N. Goodson
President
1987
78Brogan Financial
8351 E. Walker Springs Lane, Ste. 101
Knoxville, TN 37923
865-862-6800
broganfinancial.com
TD Ameritrade
15
4 / NA / NA
1 / Knoxville
$397,590,991
$382,270,983 / $15,320,008
NA
NA
NA
100% / 0% / 0%
100% / 0% / 0%
Jim Brogan
Founder, president, chief investment officer
2001
87Asset Planning Corporation
234 S. Peters Road, Ste. 102
Knoxville, TN 37923
888-690-1231
assetplanningcorp.com
Charles Schwab & Co.
8
3 / 3 / NA
1 / Knoxville
$316,000,000
$315,994,000 / $6,000,000
221
$0
$1
99% / 1% / 0%
100% / 0% / 0%
Joe N Ottaviano
Paul K. Fain
President, owner
Executive chairman, CFP
1975
99NBZ Investment Advisors, LLC
6322 Deane Hill Drive
Knoxville, TN 37919
865-584-1184
nbzinvest.com
Charles Schwab & Co.
6
4 / 3 / NA
1 / Knoxville
$301,401,640
$301,404,640 / NA
403
NA
NA
100% / NA / NA
100% / NA / NA
Rick Zivi
Managing member
1995
1011The Nalls Sherbakoff Group
9724 Kingston Pike
Knoxville, TN 37922
865-691-0898
nallssherbakoff.com
Charles Schwab & Co.
7
3 / NA / NA
1 / NA
$235,124,000
$217,424,000 / $17,700,000
843
NA
NA
85% / 12% / 3%
100% / NA / NA
Donald E. Nalls
T. Lee Sherbakoff
Partners
2014
1110C&J Wealth Advisors3
575 Oak Ridge Turnpike, Ste. 203
Oak Ridge, TN 37932
865-481-0385
cjwealth.com
TD Ameritrade
5
4 / NA / NA
2 / Knoxville, Oak Ridge
$233,300,000
NA / NA
950
$25,000
$250,000
98% / 1% / 1%
100% / 0% / NA
J. Mark King
Principal
1982
1212Creekside Capital Inc.
8901 Sony Lane
Knoxville, TN 37923
865-693-5300
creeksidecapitalinc.com
Schwab Institutional
4
2 / 2 / NA
1 / Knoxville
$224,000,000
NA / $224,000,000
685
$4,460
$327,007
95% / 4% / 1%
100% / 0% / 0%
Martin T. McBrearty
Rachel J. Hacker
Presidents
2000
1315Visionary Horizons Wealth Management
620 Mabry Hood Road, Ste. 102
Knoxville, TN 37932
865-675-8496
visionaryhorizons.com
Schwab Institutional, TD Ameritrade
9
8 / 8 / 0
2 / Knoxville, Kingston
$206,816,746
$206,816,746 / $0
421
$1
$491,000
98% / 2% / 0%
99% / 1% / 0%
Roger Kiger
CEO
2008
1413Insight Strategic Wealth, LLC
10107 Sherrill Blvd.
Knoxville, TN 37932
865-777-2325
insightstrategicwealth.com
TD Ameritrade
4
3 / 3 / 0
1 / Knoxville
$190,289,532
$187,658,239 / $2,631,293
166
$400,000
$1,500,000
100% / 0% / 0%
100% / 0% / 0%
Patricia Conry Taylor
CPA, PFS, RLP
2010
1514The Mather Group, LLC3
2095 Lakeside Centre Way, Ste. 105
Knoxville, TN 37922
865-560-0140
themathergroup.com
Charles Schwab & Co.
4
3 / 3 / NA
1 / Knoxville
$172,562,890
$158,637,213 / $13,925,677
536
$1,000,000
$1,500,000
100% / 0% / NA
NA / NA / 100%4
R. Bryan Hankla
J. David Lewis
Director of wealth management, CFP
Director of wealth management
2020
1616Leading Edge Financial Planning
6921 Office Park Circle5
Knoxville, TN 37909
865-240-2292
leadingedgeplanning.com
Charles Schwab & Co., Interactive Brokers
4
4 / 4 / 0
2 / Knoxville, Maryville
$165,000,000
$165,000,000 / NA
750
NA
$220,000
100% / 0% / 0%
0% / 0% / 100%
Charlie Mattingly
Kevin Gormley
CEO
CFO
2015
1717Retirement Planning Services
9729 Cogdill Road, Ste. 302
Knoxville, TN 37932
865-220-9311
seriousretirement.com
Fidelity
5
2 / NA / NA
1 / NA
$128,954,996
$128,954,996 / NA
NA
NA
NA
100% / 0% / 0%
100% / 0% / 0%
Spencer Hall
President
1985
1818Providence Wealth Management
2030 Falling Waters Road, Ste. 175
Knoxville, TN 37922
865-691-6699
providenceadvisors.com
TD Ameritrade
6
2 / 2 / NA
1 / Knoxville
$94,000,000
$94,000,000 / NA
NA
NA
NA
99% / 1% / NA
100% / 0% / NA
Paul W. Cochran
President
2006
1 Employees at this office who perform investment advisory functions, incl. research; 2 Chartered financial analysts; 3 Source declined to participate. Information from 2021 survey; 4 Fee-only; 5 Additional office located at 200 East Broadway Ave., Suite 200, Maryville, 37803
Source: Individual company representatives, individual company websites.If you notice an error or omission, please contact Hayley Choy at 865-342-6494 or lists@knoxvillebiz.com.

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