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
'16
'15CompanyPhone
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 & 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
22Patriot 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
33PYA 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
44Rather & 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
55Proffitt & 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
68Asset Planning Corporation
234 S. Peters Road, Ste. 102
Knoxville, TN 37923
865-690-1231
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
77C&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
810NBZ 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
911Brogan 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
1012Tennessee 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
119McBrearty 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
1213LeConte 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
1314Visionary 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% / 10% / NA
Roger Kiger
Chief manager4
2008
14NRRetirement 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
1515Resource 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
1617TrustFirst
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
17NRProvidence 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
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
$32,750,000
$32,750,000 / $0
64
$100,000
$525,000
96% / NA / 4%
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 reps., 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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