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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 '19 '18 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, NA 37902-1669 8655414747 NA Client directed 8 5 / NA / 4 1 / Knoxville $1,499,205,018 $1,499,205,018 / NA 105 $2,500,000 $14,278,143 84% / 11% / 5% 100% / 0% / 0% Michael W. Holt President 1989 2 2 Patriot Investment Management 9721 Cogdill Road, Ste. 101 Knoxville, TN 37932 865-777-2479 patriotinvestment.com Charles Schwab & Co. 23 14 / 14 / 1 1 / Knoxville $1,005,084,282 $1,003,955,015 / $1,129,267 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 NA / NA / NA 1 / 1 $728,221,572 $468,175,591 / $260,045,981 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 13 6 / 6 / 1 1 / Knoxville $630,844,483 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 5 Proffitt & Goodson 4800 Old Kingston Pike, Ste. 200 Knoxville, TN 37919 865-584-1850 proffittgoodson.com Various 9 6 / NA / 3 NA / Knoxville $442,822,557 $441,494,767 / $1,327,790 NA NA NA NA / NA / NA 100% / NA / NA David N. Goodson President 1987 6 6 Tennessee Valley Asset Management Partners 6025 Brookvale Lane, Ste. 160 Knoxville, TN 37919 865-226-9982 tvamp.net LPL Financial 21 12 / NA / NA 5 / Knoxville, Seymour, LaFollette, Oak Ridge $316,125,625 NA / NA NA NA NA NA / NA / NA NA / NA / NA Jeff Foster Scott Fisher Jeff Sweat CCO, CFP Wealth advisor MBA 2012 7 12 Brogan Financial 8351 E. Walker Springs Lane, Ste. 101 Knoxville, TN 37923 865-862-6800 broganfinancial.com TD Ameritrade 13 4 / 0 / 0 1 / Knoxville $234,030,976 $223,830,638 / $10,200,338 1,750 NA NA 100% / 0% / 0% 100% / 0% / 0% Jim Brogan Founder, president, chief investment officer 2001 8 7 Asset Planning Corporation 234 S. Peters Road, Ste. 102 Knoxville, TN 37923 888-690-1231 assetplanningcorp.com Charles Schwab & Co. 6 3 / 3 / NA 1 / Knoxville $229,000,000 $224,000,000 / $5,000,000 202 NA $1,134,000 97% / 3% / 0% 100% / 0% / 0% Paul K. Fain President, CFP 1975 9 8 The Nalls Sherbakoff Group 9724 Kingston Pike Knoxville, TN 37922 865-691-0898 nallssherbakoff.com Charles Schwab & Co 6 3 / NA / NA 1 / NA $227,455,800 $201,356,500 / $26,099,300 NA NA NA 87% / 10% / 3% 100% / NA / NA Donald E. Nalls T. Lee Sherbakoff Partner Managing partner 2014 10 9 NBZ Investment Advisors, LLC 4110 Sutherland Ave. Knoxville, TN 37919 865-584-1184 nbzinvest.com Charles Schwab & Co. NA 3 / 5 / NA 1 / Knoxville $221,261,469 $221,261,469 / $0 374 NA NA 100% / NA / NA 100% / NA / NA Rick Zivi Managing member 1995 11 11 Creekside Capital Inc.3 8901 Sony Lane Knoxville, TN 37923 865-693-5300 creeksidecapitalinc.com Schwab Institutional 3 2 / NA / NA 1 / Knoxville $178,000,000 NA / $178,000,000 200 NA NA 95% / 4% / 1% 100% / 0% / 0% Martin McBrearty Rachel J. Hacker Presidents 2000 12 15 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 $141,600,000 $134,550,000 / $7,050,000 850 $250,000 NA 90% / 5% / 5% 95% / 0% / 5% Roger Kiger CEO 2008 13 13 Retirement Planning Services 9729 Cogdill Road, Ste. 302 Knoxville, TN 37932 865-220-9311 seriousretirement.com NFS 5 2 / 2 / NA NA / NA $137,242,219 NA / NA NA NA NA 99% / 1% / 0% NA / NA / NA Spencer Hall President 1985 14 16 The Mather Group4 2095 Lakeside Centre Way, Ste. 105 Knoxville, TN 37922 865-560-0140 themathergroup.com Charles Schwab & Co. 5 2 / NA / NA 1 / Knoxville $113,358,544 $98,578,440 / $14,810,104 81 NA $1,399,488 90% / 10% / NA NA / NA / 100%5 J. David Lewis R. Bryan Hankla Managing Director CFP, Director of Wealth Management NA 15 17 Leading Edge Financial Planning 6921 Office Park Circle Knoxville, TN 37909 865-240-2292 leadingedgeplanning.com Charles Schwab 3 2 / 2 / 0 1 / Knoxville $95,000,000 $95,000,000 / $0 650 $0 $150,000 100% / 0% / 0% 0% / 0% / 100% Charlie Mattingly Kevin Gormley CEO CFO 2015 16 18 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 $76,500,000 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 McBrearty Capital Management; 4 Formerly Resource Advisory Services; 5 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.