Greater Knoxville Book of Lists | Knoxville Business Journal

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. It is your instant reference tool for finding a company's top local executive, background on a specific industry, and much more. 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 Angela Akers at 865-342-6424 or lists@knoxvillebiz.com.

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Knoxville-Area Registered Investment Advisory Firms Ranked By Assets Under Local Management
Rank
'17
'16CompanyPhone
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
11Martin & Company
Two Centre Square
Knoxville, TN 37902
865-541-4747
NA
Client directed
11
8 / NA / 5
1 / 1
$1,725,662,000
$1,725,662,000 / $0
100
NA
$17,256,620
75% / 15% / 10%
100% / 0% / 0%
Michael W. Holt
President
1989
22Patriot Investment Management
9721 Cogdill Road, Ste. 101
Knoxville, TN 37932
865-777-2479
patriotinvestment.com
Charles Schwab & Co.
20
12 / NA / 1
1 / Knoxville
$780,500,551
$780,500,551 / NA
NA
NA
NA
80% / 20% / NA
100% / NA / NA
Brad Bower
President
1993
33PYA Waltman Capital
2076 Lakeside Centre Way
Knoxville, TN 37922
865-693-6301
pyawaltman.com
Various
10
4 / NA / 1
1 / Knoxville
$549,000,000
NA / NA
NA
NA
NA
NA / NA / NA
100% / NA / NA
J. William Waltman Jr.
President
2005
44Rather & Kittrell
11905 Kingston Pike
Knoxville, TN 37934
865-218-8400
rkcapital.com
Fidelity Investments
19
12 / 3 / 0
1 / 1
$503,771,104
NA / NA
NA
NA
NA
90% / 10% / NA
100% / 0% / NA
Lytle Rather
President
2000
55Proffitt & Goodson
4800 Old Kingston Pike, Ste. 200
Knoxville, TN 37919
865-584-1850
proffittgoodson.com
Various
9
6 / NA / NA
NA / Knoxville
$385,621,426
$384,455,144 / $1,166,282
NA
NA
NA
NA / NA / NA
100% / NA / NA
David N. Goodson
President
1987
610Tennessee Valley Asset Management Partners
6025 Brookvale Lane, Ste. 160
Knoxville, TN 37919
865-226-9982
tvamp.net
LPL Financial
19
10 / 10 / NA
5 / Knoxville, Seymour, LaFollette
$218,519,562
$210,890,707 / $7,628,855
NA
NA
NA
NA / NA / NA
65% / 25% / 10%
Jeff Foster
Scott Fisher
Jeff Sweat
CCO, CFP
Wealth advisor
MBA
2012
76Asset 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
$206,000,000
$200,809,407 / $5,190,593
189
$500,000
$1,100,000
97% / 3% / 0%
100% / 0% / 0%
Paul K. Fain
President
1975
88NBZ Investment Advisors
4110 Sutherland Ave.
Knoxville, TN 37919
865-584-1184
nbzinvest.com
Charles Schwab & Co.
NA
NA / 5 / NA
1 / Knoxville
$178,139,394
$178,139,394 / NA
331
NA
NA
100% / NA / NA
100% / NA / NA
Rick Zivi
Managing member
1995
9NRThe Nalls Sherbakoff Group
9724 Kingston Pike
Knoxville, TN 37922
865-691-0898
nallssherbakoff.com
Charles Schwab & Co
4
3 / NA / NA
1 / NA
$175,287,000
$175,287,000 / NA
810
NA
NA
87% / 10% / 3%
100% / NA / NA
Donald E. Nalls
T. Lee Sherbakoff
Partner
Managing partner
2014
107C&J Wealth Advisors
575 Oak Ridge Turnpike, Ste. 203
Oak Ridge, TN 37932
865-481-0385
cjwealth.com
TD Ameritrade
7
4 / NA / NA
2 / Knoxville, Oak Ridge
$168,960,000
$162,880,000 / $6,080,000
844
NA
NA
99% / 1% / NA
100% / 0% / NA
J. Mark King
Principal
1982
119Brogan Financial
8351 E. Walker Springs Lane, Ste. 101
Knoxville, TN 37923
865-862-6800
broganfinancial.com
TD Ameritrade
12
4 / NA / NA
1 / Knoxville
$168,593,864
$157,150,638 / $11,443,226
459
NA
$367,198
100% / NA / NA
100% / NA / NA
Jim Brogan
President, Chief Investment Officer
2001
1211McBrearty Capital Management
8901 Sony Lane
Knoxville, TN 37923
865-693-5300
mcbreartycapital.com
Schwab Institutional
4
2 / NA / NA
1 / Knoxville
$155,000,000
NA / NA
NA
NA
NA
95% / 4% / 1%
100% / NA / NA
Martin McBrearty
Rachel J. Hacker
Presidents
2000
1312LeConte Wealth Management
703 William Blount Drive
Maryville, TN 37801
865-379-8200
lecontewealth.com
TD Ameritrade, Schwab
8
3 / NA / NA
1 / Maryville
$147,000,000
$147,000,000 / NA
163
NA
$901,840
95% / 3% / 2%
100% / NA / NA
Kevin Painter
Hoy Grimm
Jon Dockery
Managing Partner
Managing partner
CPA
2007
1414Retirement Planning Services
9729 Cogdill Road, Ste. 302
Knoxville, TN 37932
865-220-9311
seriousretirement.com
NFS
5
2 / 2 / NA
NA / NA
$110,000,000
NA / NA
NA
NA
NA
99% / 1% / 0%
NA / NA / NA
Spencer Hall
President
1985
1413Visionary Horizons Wealth Management
620 Mabry Hood Road, Ste. 102
Knoxville, TN 37932
865-675-8496
visionaryhorizons.com
Schwab Institutional, TD Ameritrade
7
5 / 5 / NA
2 / Knoxville, Kingston
$110,000,000
$110,000,000 / NA
700
$250,000
$175,000
90% / 5% / 5%
90% / 5% / 5%
Roger Kiger
Chief manager3
2008
1615Resource Advisory Services
2095 Lakeside Centre Way, Ste. 105
Knoxville, TN 37922
865-560-0140
resourceadv.com
Charles Schwab & Co.
5
2 / 2 / NA
1 / Knoxville
$99,584,673
$87,138,166 / $12,446,507
75
NA
$1,327,796
90% / 10% / NA
NA / NA / 100%4
J. David Lewis
R. Bryan Hankla
Principal, founder
Principal, CFP
1985
1717Providence Wealth Management
2030 Falling Waters Road, Ste. 175
Knoxville, TN 37922
865-691-6699
providenceadvisors.com
TD Ameritrade
6
2 / 2 / NA
1 / Knoxville
$60,000,000
NA / NA
NA
NA
NA
99% / 1% / NA
100% / 0% / NA
Paul W. Cochran
President
2006
1818Financial Counseling & Administration
3039 Kingston Pike, Apt. # 5
Knoxville, TN 37919
865-525-9793
johnsmarttcpa.com
TD Ameritrade Institutional
1
1 / NA / NA
1 / Knoxville
$37,655,000
$37,655,000 / $0
65
$100,000
$579,300
95% / NA / 5%
100% / 0% / 0%
John Smartt Jr.
Owner, CPA
1992
1 Employees at this office who perform investment advisory functions, incl. research; 2 Chartered financial analysts; 3 Wealth strategist; 4 Fee-only
Source: Individual company representatives, individual company websites.If you notice an error or omission, please contact Angela Akers at 865-342-6424 or lists@knoxvillebiz.com.

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