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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 '20 '19 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 37902-1669 8655414747 martin-co.com Client directed 8 5 / NA / 4 1 / Knoxville $1,533,343,315 $1,533,343,315 / NA 120 $500,000 $12,777,860 84% / 11% / 5% 100% / 0% / 0% Michael W. Holt President, CEO 1989 2 2 Patriot Investment Management 9721 Cogdill Road, Ste. 101 Knoxville, TN 37932 865-777-2479 patriotinvestment.com Charles Schwab & Co. 24 16 / 16 / 1 1 / Knoxville $1,115,904,742 $1,112,761,741 / $3,143,001 NA NA NA 80% / 20% / NA 100% / NA / NA Brad Bower President 1993 3 3 Rather & Kittrell 11905 Kingston Pike Knoxville, TN 37934 865-218-8400 rkcapital.com Fidelity Investments 22 13 / NA / NA NA / 1 $878,694,418 NA / NA NA NA NA 80% / 20% / NA 100% / 0% / NA Lytle Rather President 2000 4 4 PYA Waltman Capital, LLC 1402 Ebenezer Road Knoxville, TN 37922 865-693-6301 pyawaltman.com Various 14 6 / 6 / 1 1 / Knoxville $754,600,955 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 6 Tennessee Valley Asset Management Partners 6025 Brookvale Lane, Ste. 160 Knoxville, TN 37919 865-226-9982 tvamp.net LPL Financial 22 NA / NA / NA NA / Knoxville, Seymour, LaFollette, Oak Ridge $524,239,051 NA / NA NA NA NA NA / NA / NA NA / NA / NA Jeff Foster Scott Fisher Jeff Sweat CCO, CFP Wealth advisor MBA 2012 6 5 Proffitt & Goodson 4800 Old Kingston Pike, Ste. 200 Knoxville, TN 37919 865-584-1850 proffittgoodson.com Various 9 6 / NA / 3 NA / Knoxville $514,635,581 $506,884,572 / $7,751,008 NA NA NA NA / NA / NA 100% / NA / NA David N. Goodson President 1987 7 7 Brogan Financial 8351 E. Walker Springs Lane, Ste. 101 Knoxville, TN 37923 865-862-6800 broganfinancial.com TD Ameritrade 14 4 / NA / NA 1 / Knoxville $267,028,000 NA / NA NA NA NA 100% / 0% / 0% 100% / 0% / 0% Jim Brogan Founder, president, chief investment officer 2001 8 10 NBZ Investment Advisors, LLC 6322 Deane Hill Drive Knoxville, TN 37919 865-584-1184 nbzinvest.com Charles Schwab & Co. NA 3 / 5 / NA 1 / Knoxville $257,700,440 $257,700,440 / NA 383 NA NA 100% / NA / NA 100% / NA / NA Rick Zivi Managing member 1995 9 8 Asset Planning Corporation 234 S. Peters Road, Ste. 102 Knoxville, TN 37923 888-690-1231 assetplanningcorp.com Charles Schwab & Co. 7 2 / 3 / NA 1 / Knoxville $236,000,000 $232,000,000 / $4,687,000 221 NA $1,106,000 98% / 2% / 0% 100% / 0% / 0% Paul K. Fain Executive chairman, CFP 1975 10 9 The Nalls Sherbakoff Group 9724 Kingston Pike Knoxville, TN 37922 865-691-0898 nallssherbakoff.com Charles Schwab & Co. 5 2 / NA / NA 1 / Knoxville $218,720,400 $192,012,330 / $26,708,000 NA NA NA 85% / 12% / 3% 100% / NA / NA Donald E. Nalls T. Lee Sherbakoff Partners 2014 11 11 Creekside Capital Inc. 8901 Sony Lane Knoxville, TN 37923 865-693-5300 creeksidecapitalinc.com Schwab Institutional 4 2 / 2 / NA 1 / Knoxville $180,000,000 NA / $180,000,000 640 $3,743 $281,250 95% / 4% / 1% 100% / 0% / 0% Martin McBrearty Rachel J. Hacker Presidents 2000 12 NR CTM Financial, LLC 10107 Sherrill Blvd. Knoxville, TN 37932 865-777-2325 ctmfin.com TD Ameritrade 4 3 / 3 / 0 1 / Knoxville $175,300,000 $167,400,000 / $7,900,000 157 $400,000 $1,116,300 100% / 0% / NA 100% / NA / NA Patricia Conry Taylor CPA, PFS 2010 13 13 Retirement Planning Services 9729 Cogdill Road, Ste. 302 Knoxville, TN 37932 865-220-9311 seriousretirement.com NFS NA NA / NA / NA NA / NA $143,952,311 NA / NA NA NA NA 99% / 1% / 0% NA / NA / NA Spencer Hall President 1985 14 12 Visionary Horizons Wealth Management 620 Mabry Hood Road, Ste. 102 Knoxville, TN 37932 865-675-8496 visionaryhorizons.com Schwab Institutional, TD Ameritrade 6 5 / 5 / NA 2 / Knoxville, Kingston $143,386,467 $143,386,467 / $0 920 $50,000 $155,855 90% / 5% / 5% 95% / 0% / 5% Roger Kiger CEO 2008 15 14 The Mather Group3 2095 Lakeside Centre Way, Ste. 105 Knoxville, TN 37922 865-560-0140 themathergroup.com Charles Schwab & Co. 5 NA / NA / NA 1 / Knoxville $123,406,507 NA / NA NA NA NA 90% / 10% / NA NA / NA / 100%4 J. David Lewis R. Bryan Hankla Managing director Director of wealth management, CFP NA 16 15 Leading Edge Financial Planning 6921 Office Park Circle Knoxville, TN 37909 865-240-2292 leadingedgeplanning.com Charles Schwab & Co. 3 2 / 2 / 0 1 / Knoxville $100,000,000 $100,000,000 / $0 700 $0 $142,000 100% / 0% / 0% 0% / 0% / 100% Charlie Mattingly Kevin Gormley CEO CFO 2015 17 16 Providence Wealth Management 2030 Falling Waters Road, Ste. 175 Knoxville, TN 37922 865-691-6699 providenceadvisors.com TD Ameritrade 7 2 / 2 / NA 1 / Knoxville $81,000,000 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 Resource Advisory Services; 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.