Greater Knoxville Book of Lists | Knoxville Business Journal

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 2018 Book of Lists or click the Subscribe button to purchase one year of unlimited access, unlimited downloads of all our business lists as they’re 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.

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Knoxville-Area Registered Investment Advisory Firms Ranked By Assets Under Local Management
Rank
'18
'17CompanyPhone
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 & Company
Two Centre Square
Knoxville, TN 37902
865-541-4747
NA
Client directed
10
7 / NA / 5
1 / 1
$1,557,181,400
$1,557,181,400 / $0
103
$2,500,000
$15,266,485
75% / 15% / 10%
100% / 0% / 0%
Michael W. Holt
President
1989
22Patriot Investment Management
9721 Cogdill Road, Ste. 101
Knoxville, TN 37932
865-777-2479
patriotinvestment.com
Charles Schwab & Co.
20
13 / 13 / 1
1 / Knoxville
$937,599,490
$936,663,968 / $935,521
3,799
NA
$240,000
80% / 20% / NA
100% / NA / NA
Brad Bower
President
1993
34Rather & Kittrell
11905 Kingston Pike
Knoxville, TN 37934
865-218-8400
rkcapital.com
Fidelity Investments
22
12 / 3 / 0
1 / 1
$661,864,079
NA / NA
NA
NA
NA
90% / 10% / NA
100% / 0% / NA
Lytle Rather
President
2000
43PYA Waltman Capital, LLC
2076 Lakeside Centre Way
Knoxville, TN 37922
865-693-6301
pyawaltman.com
Various
10
5 / 5 / 1
1 / Knoxville
$631,392,843
NA / NA
NA
NA
NA
NA / NA / NA
100% / NA / NA
J. William Waltman, Jr.
Melissa Ballard
President
Director of Financial Planning Services
2005
55Proffitt & Goodson
4800 Old Kingston Pike, Ste. 200
Knoxville, TN 37919
865-584-1850
proffittgoodson.com
Various
9
6 / NA / NA
NA / Knoxville
$422,674,533
$421,348,180 / $1,326,352
NA
NA
NA
NA / NA / NA
100% / NA / NA
David N. Goodson
President
1987
66Tennessee Valley Asset Management Partners
6025 Brookvale Lane, Ste. 160
Knoxville, TN 37919
865-226-9982
tvamp.net
LPL Financial
21
10 / 10 / NA
6 / Knoxville, Seymour, LaFollette
$273,350,659
NA / NA
NA
NA
NA
NA / NA / NA
NA / NA / NA
Jeff Foster, CFP®
Scott Fisher, CFP®
Jeff Sweat, CFP®
CCO, CFP
Wealth advisor
MBA
2012
77Asset Planning Corporation
234 S. Peters Road, Ste. 102
Knoxville, TN 37923
888-690-1231
AssetPlanningCorp.com
Charles Schwab & Co.
7
3 / 3 / NA
1 / Knoxville
$216,000,000
$211,000,000 / $5,000,000
195
NA
$1,108,000
97% / 3% / 0%
100% / 0% / 0%
Paul K. Fain
President
1975
89The Nalls Sherbakoff Group
9724 Kingston Pike
Knoxville, TN 37922
865-691-0898
nallssherbakoff.com
Charles Schwab & Co
6
5 / 3 / 1
1 / NA
$208,743,890
$204,707,581 / $4,036,309
877
NA
NA
87% / 10% / 3%
100% / NA / NA
Donald E. Nalls
T. Lee Sherbakoff
Partner
Managing partner
2014
98NBZ Investment Advisors
4110 Sutherland Ave.
Knoxville, TN 37919
865-584-1184
nbzinvest.com
Charles Schwab & Co.
NA
NA / 5 / NA
1 / Knoxville
$204,932,668
$204,932,668 / NA
350
NA
NA
100% / NA / NA
100% / NA / NA
Rick Zivi
Managing member
1995
1010C&J Wealth Advisors
575 Oak Ridge Turnpike, Ste. 203
Oak Ridge, TN 37932
865-481-0385
cjwealth.com
TD Ameritrade
6
4 / NA / NA
2 / Knoxville, Oak Ridge
$195,127,139
$186,634,990 / $8,492,149
855
NA
NA
99% / 1% / NA
100% / 0% / NA
J. Mark King
Principal
1982
1112McBrearty Capital Management
8901 Sony Lane
Knoxville, TN 37923
865-693-5300
mcbreartycapital.com
Schwab Institutional
3
2 / NA / NA
1 / Knoxville
$178,000,000
NA / $178,000,000
200
NA
NA
95% / 4% / 1%
100% / NA / NA
Martin McBrearty
Rachel J. Hacker
Presidents
2000
1211Brogan Financial
8351 E. Walker Springs Lane, Ste. 101
Knoxville, TN 37923
865-862-6800
broganfinancial.com
TD Ameritrade
10
3 / 0 / 0
1 / Knoxville
$174,512,238
$163,317,446 / $11,194,792
NA
NA
NA
100% / NA / NA
100% / NA / NA
Jim Brogan
President, Chief Investment Officer
2001
1314Retirement Planning Services
9729 Cogdill Road, Ste. 302
Knoxville, TN 37932
865-220-9311
seriousretirement.com
NFS
5
2 / 2 / NA
NA / NA
$132,500,000
NA / NA
NA
NA
NA
99% / 1% / 0%
NA / NA / NA
Spencer Hall
President
1985
14NRCTM Financial
10107 Sherrill Blvd.
Knoxville, TN 37932
865-777-2325
ctmfin.com
TD Ameritrade
2
2 / 2 / 0
1 / Knoxville
$132,000,000
$132,000,000 / NA
105
$400
$1,500,000
105% / 0% / NA
100% / NA / NA
Patricia Conry Taylor
CPA, PFS
2010
1514Visionary Horizons Wealth Management
620 Mabry Hood Road, Ste. 102
Knoxville, TN 37932
865-675-8496
visionaryhorizons.com
Schwab Institutional, TD Ameritrade
9
7 / 1 / NA
3 / Knoxville, Kingston
$125,000,000
$125,000,000 / $0
625
$250,000
$200,000
90% / 5% / 5%
90% / 5% / 5%
Roger Kiger
CEO
2008
1616Resource Advisory Services
2095 Lakeside Centre Way, Ste. 105
Knoxville, TN 37922
865-560-0140
resourceadv.com
Charles Schwab & Co.
5
3 / 3 / NA
1 / Knoxville
$114,605,115
$101,033,114 / $13,572,001
103
NA
$1,112,671
90% / 10% / NA
NA / NA / 100%3
J. David Lewis
R. Bryan Hankla
Principal, founder
Principal, CFP
1985
17NRLeading Edge Financial Planning
6921 Office Park Circle
Knoxville, TN 37909
865-240-2292
leadingedgeplanning.com
Charles Schwab
3
2 / NA / NA
1 / Knoxville
$74,908,838
$74,908,838 / NA
NA
NA
$0
100% / NA / NA
100% / NA / NA
Charlie Mattingly
Kevin Gormley
Chief Executive Officer
Chief Financial Officer
2015
1817Providence Wealth Management
2030 Falling Waters Road, Ste. 175
Knoxville, TN 37922
865-691-6699
providenceadvisors.com
TD Ameritrade
6
2 / 2 / NA
1 / Knoxville
$70,000,000
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 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.

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