The Book of Lists is your resource to stay ahead of the competition. Get in-depth information on the largest and most influential businesses in East Tennessee. Purchase a one-time download of the 2019 Book of Lists or click the Subscribe button to purchase one year of unlimited access, unlimited downloads of all our business lists as they are updated in real-time. Create a list of sales contacts and general mailings lists, sort by company or geography, and import data directly to your desktop. Start your download now. Any questions, contact Hayley Choy at 865-342-6494 or lists@knoxvillebiz.com.

Log in here

PRODUCTS PROFILE ADD DATA CONTACT SUBSCRIBE

Shopping Cart (0 items) HTML View

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 Registered Investment Advisory Firms Ranked By Assets Under Local Management Rank '18 '17 Company Phone 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 1 1 Martin & Company Two Centre Square Knoxville, TN 37902 865-541-4747 NA Client directed 10 7 / NA / 5 1 / 1 $1,557,181,400 $1,557,181,400 / $0 103 $2,500,000 $15,266,485 75% / 15% / 10% 100% / 0% / 0% Michael W. Holt President 1989 2 2 Patriot Investment Management 9721 Cogdill Road, Ste. 101 Knoxville, TN 37932 865-777-2479 patriotinvestment.com Charles Schwab & Co. 20 13 / 13 / 1 1 / Knoxville $937,599,490 $936,663,968 / $935,521 3,799 NA $240,000 80% / 20% / NA 100% / NA / NA Brad Bower President 1993 3 4 Rather & Kittrell 11905 Kingston Pike Knoxville, TN 37934 865-218-8400 rkcapital.com Fidelity Investments 22 12 / 3 / 0 1 / 1 $661,864,079 NA / NA NA NA NA 80% / 20% / NA 100% / 0% / NA Lytle Rather President 2000 4 3 PYA Waltman Capital, LLC 2076 Lakeside Centre Way Knoxville, TN 37922 865-693-6301 pyawaltman.com Various 10 5 / 5 / 1 1 / Knoxville $631,392,843 NA / NA NA NA NA NA / NA / NA 100% / NA / NA J. William Waltman, Jr. Melissa Ballard President Director of Financial Planning Services 2005 5 5 Proffitt & Goodson 4800 Old Kingston Pike, Ste. 200 Knoxville, TN 37919 865-584-1850 proffittgoodson.com Various 9 6 / NA / NA NA / Knoxville $422,674,533 $421,348,180 / $1,326,352 NA NA NA NA / NA / NA 100% / NA / NA David N. Goodson President 1987 6 6 Tennessee Valley Asset Management Partners 6025 Brookvale Lane, Ste. 160 Knoxville, TN 37919 865-226-9982 tvamp.net LPL Financial 21 10 / 10 / NA 6 / Knoxville, Seymour, LaFollette, Oak Ridge $273,350,659 NA / NA NA NA NA NA / NA / NA NA / NA / NA Jeff Foster Scott Fisher Jeff Sweat CCO, CFP Wealth advisor MBA 2012 7 7 Asset Planning Corporation 234 S. Peters Road, Ste. 102 Knoxville, TN 37923 888-690-1231 AssetPlanningCorp.com Charles Schwab & Co. 7 3 / 3 / NA 1 / Knoxville $216,000,000 $211,000,000 / $5,000,000 195 NA $1,108,000 97% / 3% / 0% 100% / 0% / 0% Paul K. Fain President, CFP 1975 8 9 The Nalls Sherbakoff Group 9724 Kingston Pike Knoxville, TN 37922 865-691-0898 nallssherbakoff.com Charles Schwab & Co 6 5 / 3 / 1 1 / NA $208,743,890 $204,707,581 / $4,036,309 877 NA NA 87% / 10% / 3% 100% / NA / NA Donald E. Nalls T. Lee Sherbakoff Partner Managing partner 2014 9 8 NBZ Investment Advisors, LLC 4110 Sutherland Ave. Knoxville, TN 37919 865-584-1184 nbzinvest.com Charles Schwab & Co. NA NA / 5 / NA 1 / Knoxville $204,932,668 $204,932,668 / NA 350 NA NA 100% / NA / NA 100% / NA / NA Rick Zivi Managing member 1995 10 10 C&J Wealth Advisors 575 Oak Ridge Turnpike, Ste. 203 Oak Ridge, TN 37932 865-481-0385 cjwealth.com TD Ameritrade 6 4 / NA / NA 2 / Knoxville, Oak Ridge $195,127,139 $186,634,990 / $8,492,149 855 NA NA 99% / 1% / NA 100% / 0% / NA J. Mark King Principal 1982 11 12 Creekside Capital Inc.3 8901 Sony Lane Knoxville, TN 37923 865-693-5300 mcbreartycapital.com Schwab Institutional 3 2 / NA / NA 1 / Knoxville $178,000,000 NA / $178,000,000 200 NA NA 95% / 4% / 1% 100% / NA / NA Martin McBrearty Rachel J. Hacker Presidents 2000 12 11 Brogan Financial 8351 E. Walker Springs Lane, Ste. 101 Knoxville, TN 37923 865-862-6800 broganfinancial.com TD Ameritrade 10 3 / 0 / 0 1 / Knoxville $174,512,238 $163,317,446 / $11,194,792 NA NA NA 100% / 0% / 0% 100% / 0% / 0% Jim Brogan Founder, president, chief investment officer 2001 13 14 Retirement Planning Services 9729 Cogdill Road, Ste. 302 Knoxville, TN 37932 865-220-9311 seriousretirement.com NFS 5 2 / 2 / NA NA / NA $132,500,000 NA / NA NA NA NA 99% / 1% / 0% NA / NA / NA Spencer Hall President 1985 14 NR CTM Financial 10107 Sherrill Blvd. Knoxville, TN 37932 865-777-2325 ctmfin.com TD Ameritrade 2 2 / 2 / 0 1 / Knoxville $132,000,000 $132,000,000 / NA 105 $400 $1,500,000 105% / 0% / NA 100% / NA / NA Patricia Conry Taylor CPA, PFS 2010 15 14 Visionary Horizons Wealth Management 620 Mabry Hood Road, Ste. 102 Knoxville, TN 37932 865-675-8496 visionaryhorizons.com Schwab Institutional, TD Ameritrade 9 7 / 1 / NA 3 / Knoxville, Kingston $125,000,000 $125,000,000 / $0 625 $250,000 $200,000 90% / 5% / 5% 95% / 0% / 5% Roger Kiger CEO 2008 16 16 Resource Advisory Services 2095 Lakeside Centre Way, Ste. 105 Knoxville, TN 37922 865-560-0140 resourceadv.com Charles Schwab & Co. 5 3 / 3 / NA 1 / Knoxville $114,605,115 $101,033,114 / $13,572,001 103 NA $1,112,671 90% / 10% / NA NA / NA / 100%4 J. David Lewis R. Bryan Hankla Principal, founder Principal, CFP 1985 17 NR Leading Edge Financial Planning 6921 Office Park Circle Knoxville, TN 37909 865-240-2292 leadingedgeplanning.com Charles Schwab 3 2 / NA / NA 1 / Knoxville $74,908,838 $74,908,838 / NA NA NA $0 100% / 0% / 0% 0% / 0% / 100% Charlie Mattingly Kevin Gormley Chief Executive Officer Chief Financial Officer 2015 18 17 Providence Wealth Management 2030 Falling Waters Road, Ste. 175 Knoxville, TN 37922 865-691-6699 providenceadvisors.com TD Ameritrade 6 2 / 2 / NA 1 / Knoxville $70,000,000 NA / 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 Formerly McBrearty Capital Management; 4 Fee-only 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.