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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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 '16 '15 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 & Co. Investment Counsel3 Two Centre Square Ste. 200, 625 S. Gay St. Knoxville, TN 37902 865-541-4747 NA Client directed 11 8 / NA / 5 1 / Knoxville $1,591,000,000 $1,591,000,000 / NA 241 $2,500,000 $6,600,000 75% / 15% / 10% 100% / NA / NA Michael W. Holt President, CFA 1989 2 2 Patriot Investment Management 9721 Cogdill Road, Ste. 101 Knoxville, TN 37932 865-777-2479 patriotinvestment.com Charles Schwab & Co. 19 NA / NA / NA 1 / Knoxville $714,586,460 $714,586,460 / NA NA NA NA 80% / 20% / NA 100% / NA / NA Brad Bower President 1993 3 3 PYA Waltman Capital 2076 Lakeside Centre Way Knoxville, TN 37922 865-693-6301 pyawaltman.com Various 9 NA / NA / NA 1 / Knoxville $499,692,115 NA / NA NA NA NA NA / NA / NA 100% / NA / NA J. William Waltman Jr. President 2005 4 4 Rather & Kittrell 11905 Kingston Pike Knoxville, TN 37934 865-218-8400 rkcapital.com Fidelity Investments 19 NA / NA / NA 1 / 1 $438,242,401 NA / NA NA NA NA 90% / 10% / NA 100% / 0% / NA Lytle Rather President 2000 5 5 Proffitt & Goodson 4800 Old Kingston Pike, Ste. 200 Knoxville, TN 37919 865-584-1850 proffittgoodson.com Various 7 4 / NA / 1 NA / Knoxville $360,418,937 $359,003,068 / $1,415,869 NA NA NA NA / NA / NA 100% / NA / NA David N. Goodson President 1987 6 8 Asset Planning Corporation 234 S. Peters Road, Ste. 102 Knoxville, TN 37923 888-690-1231 AssetPlanningCorp.com Charles Schwab & Co. 6 4 / 4 / NA 1 / Knoxville $179,000,000 NA / NA 169 NA $1,000,000 97% / 3% / 0% 100% / 0% / 0% Paul K. Fain President 1975 7 7 C&J Wealth Advisors 575 Oak Ridge Turnpike, Ste. 203 Oak Ridge, TN 37932 865-481-0385 cjwealth.com TD Ameritrade 6 3 / 0 / 0 2 / Knoxville, Oak Ridge $170,000,000 $15,760,000 / $0 NA NA NA 99% / 1% / NA 100% / 0% / NA J. Mark King Principal 1982 8 10 NBZ Investment Advisors 4110 Sutherland Ave. Knoxville, TN 37919 865-584-1184 nbzinvest.com Charles Schwab & Co. NA NA / 2 / NA 1 / Knoxville $164,899,258 $164,899,258 / $0 350 NA NA 100% / NA / NA 100% / NA / NA Rick Zivi Managing member 1995 9 11 Brogan Financial 8351 E. Walker Springs Lane, Ste. 101 Knoxville, TN 37923 865-862-6800 broganfinancial.com TD Ameritrade 10 3 / NA / NA NA / Knoxville $158,378,000 $153,458,420 / $4,919,580 NA NA NA 100% / NA / NA 100% / NA / NA Jim Brogan President, Chief Investment Officer 2001 10 12 Tennessee Valley Asset Management Partners 6025 Brookvale Lane, Ste. 160 Knoxville, TN 37919 865-226-9982 tvamp.net LPL Financial 14 9 / 9 / NA 4 / Knoxville, Seymour, LaFollette $156,000,000 NA / NA NA NA NA NA / NA / NA 65% / 25% / 10% Jeff Foster Scott Fisher Jeff Sweat CCO, CFP Wealth advisor MBA 2012 11 9 McBrearty Capital Management 8901 Sony Lane Knoxville, TN 37923 865-693-5300 mcbreartycapital.com Schwab Institutional 4 3 / NA / NA 1 / Knoxville $141,000,000 NA / $141,000,000 200 $250,000 $250,000 95% / 4% / 1% 100% / NA / NA Martin McBrearty Rachel J. Hacker Presidents 2000 12 13 LeConte Wealth Management 703 William Blount Drive Maryville, TN 37801 865-379-8200 lecontewealth.com TD Ameritrade, Schwab 7 3 / 0 / 0 1 / Maryville $120,654,900 $120,354,900 / $300,000 470 NA NA 95% / 3% / 2% 100% / NA / NA Kevin Painter Hoy Grimm Jon Dockery Managing partner Managing partner CPA 2007 13 14 Visionary Horizons Wealth Management 620 Mabry Hood Road, Ste. 102 Knoxville, TN 37932 865-675-8496 visionaryhorizons.com Schwab Institutional, TD Ameritrade 9 6 / 6 / NA 3 / Knoxville, Kingston $110,000,000 $110,000,000 / $0 800 $50,000 $275,000 90% / 5% / 5% 90% / 5% / 5% Roger Kiger Chief manager4 2008 14 NR Retirement Planning Services 9729 Cogdill Road, Ste. 302 Knoxville, TN 37932 865-220-9311 seriousretirement.com NFS 6 2 / 2 / NA 1 / NA $101,000,000 NA / NA NA NA NA NA / NA / NA NA / NA / NA Steven S. Hall Senior partner 1985 15 15 Resource Advisory Services 2095 Lakeside Centre Way, Ste. 105 Knoxville, TN 37922 865-560-0140 resourceadv.com Charles Schwab & Co. 4 2 / 2 / NA 1 / Knoxville $89,545,697 $76,429,218 / $13,116,479 78 $0 $1,148,022 90% / 10% / NA NA / NA / 100%5 J. David Lewis R. Bryan Hankla Principal, founder Principal, CFP 1985 16 17 TrustFirst 265 Brookview Centre Way, Ste. 504 Knoxville, TN 37919 865-583-7390 trustfirst.com TrustFirst, Fidelity, Schwab 9 4 / 6 / NA 1 / Knoxville $56,043,980 $23,012,096 / $33,031,884 145 NA $386,500 97% / 2% / 1% 100% / 0% / 0% Donald O. Taylor President 1995 17 NR Providence Wealth Management 2030 Falling Waters Road, Ste. 175 Knoxville, TN 37922 865-691-6699 providenceadvisors.com TD Ameritrade NA NA / NA / NA NA / Knoxville $47,000,000 NA / NA NA NA NA 75% / 25% / NA 100% / 0% / NA Paul W. Cochran President 2006 18 18 Financial Counseling & Administration 3039 Kingston Pike, Apt. # 5 Knoxville, TN 37919 865-525-9793 johnsmarttcpa.com TD Ameritrade Institutional 1 1 / NA / NA 1 / Knoxville $32,750,000 $32,750,000 / $0 64 $100,000 $525,000 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 All information as of 6/30/16; 4 Wealth strategist; 5 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.