Greater Knoxville Book of Lists | Knox.biz

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 2022 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.

PRODUCTS PROFILE ADD DATA CONTACT SUBSCRIBE

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
'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.

Book of Lists

Title Sponsor


Centriworks Thermocopy

Category Sponsor


Pugh CPAs


For advertising or sponsorship information, contact Brenda Hines at brenda.hines@knoxnews.com or (865) 342-6566.