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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 '22 '21 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 2 Patriot 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 2 1 Martin & 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 3 3 Rather & 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 4 4 PYA 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 5 6 Tennessee 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 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 $614,630,566 $601,104,674 / $13,525,892 NA NA NA NA / NA / NA 100% / NA / NA David N. Goodson President 1987 7 8 Brogan 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 8 7 Asset 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 9 9 NBZ 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 10 11 The 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 11 10 C&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 12 12 Creekside 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 13 15 Visionary 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 14 13 Insight 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 15 14 The 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 16 16 Leading 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 17 17 Retirement 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 18 18 Providence 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.