Greater Knoxville Book of Lists | Knox.biz

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 2021 Book of Lists or click the Subscribe button to purchase one year of unlimited access, unlimited downloads of all our business lists as they are 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
'20
'19CompanyPhone
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 37902-1669
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
22Patriot 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
33Rather & 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
44PYA 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
56Tennessee 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
CFP
CFP
2011
65Proffitt & 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
77Brogan 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
810NBZ 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
98Asset 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
109The 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
1111Creekside 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
12NRInsight Strategic Wealth, LLC
10107 Sherrill Blvd.
Knoxville, TN 37932
865-777-2325
insightstrategicwealth.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, RLPĀ®
2010
1313Retirement 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
1412Visionary 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
1514The Mather Group, LLC3
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
100% / 0% / NA
NA / NA / 100%4
R. Bryan Hankla
J. David Lewis
Director of Wealth Management, CFP
Director of Wealth Management
2020
1615Leading 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
1716Providence 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.

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