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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 '18 '17 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, 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 2 2 Patriot 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 3 4 Rather & 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 4 3 PYA 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 5 5 Proffitt & 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 6 6 Tennessee 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 Scott Fisher Jeff Sweat CCO, CFP Wealth advisor MBA 2012 7 7 Asset 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 8 9 The 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 9 8 NBZ 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 10 10 C&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 11 12 McBrearty 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 12 11 Brogan 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 13 14 Retirement 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 14 NR CTM 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 15 14 Visionary 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 16 16 Resource 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 17 NR Leading 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 18 17 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 $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.