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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 '17 '16 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 11 8 / NA / 5 1 / 1 $1,725,662,000 $1,725,662,000 / $0 100 NA NA 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 12 / NA / 1 1 / Knoxville $780,500,551 $780,500,551 / NA NA NA NA 80% / 20% / NA 100% / NA / NA Brad Bower President 1993 3 3 PYA Waltman Capital 2076 Lakeside Centre Way Knoxville, TN 37922 865-693-6301 pyawaltman.com Various 10 4 / NA / 1 1 / Knoxville $549,000,000 NA / NA NA NA NA NA / NA / NA 100% / NA / NA J. William Waltman Jr. Melissa Ballard President Director of Financial Planning Services 2005 4 4 Rather & Kittrell 11905 Kingston Pike Knoxville, TN 37934 865-218-8400 rkcapital.com Fidelity Investments 19 12 / 3 / 0 1 / 1 $503,771,104 NA / NA NA NA NA 90% / 10% / NA 100% / 0% / NA Lytle Rather President 2000 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 $385,621,426 $384,455,144 / $1,166,282 NA NA NA NA / NA / NA 100% / NA / NA David N. Goodson President 1987 6 10 Tennessee Valley Asset Management Partners 6025 Brookvale Lane, Ste. 160 Knoxville, TN 37919 865-226-9982 tvamp.net LPL Financial 19 10 / 10 / NA 5 / Knoxville, Seymour, LaFollette $218,519,562 $210,890,707 / $7,628,855 NA NA NA NA / NA / NA 65% / 25% / 10% Jeff Foster Scott Fisher Jeff Sweat CCO, CFP Wealth advisor MBA 2012 7 6 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 $206,000,000 $200,809,407 / $5,190,593 189 $500,000 $1,100,000 97% / 3% / 0% 100% / 0% / 0% Paul K. Fain President 1975 8 8 NBZ Investment Advisors 4110 Sutherland Ave. Knoxville, TN 37919 865-584-1184 nbzinvest.com Charles Schwab & Co. NA NA / 5 / NA 1 / Knoxville $178,139,394 $178,139,394 / NA 331 NA NA 100% / NA / NA 100% / NA / NA Rick Zivi Managing member 1995 9 NR The Nalls Sherbakoff Group 9724 Kingston Pike Knoxville, TN 37922 865-691-0898 nallssherbakoff.com Charles Schwab & Co 4 3 / NA / NA 1 / NA $175,287,000 $175,287,000 / NA 810 NA NA 87% / 10% / 3% 100% / NA / NA Donald E. Nalls T. Lee Sherbakoff Partner Managing partner 2014 10 7 C&J Wealth Advisors 575 Oak Ridge Turnpike, Ste. 203 Oak Ridge, TN 37932 865-481-0385 cjwealth.com TD Ameritrade 7 4 / NA / NA 2 / Knoxville, Oak Ridge $168,960,000 $162,880,000 / $6,080,000 844 NA NA 99% / 1% / NA 100% / 0% / NA J. Mark King Principal 1982 11 9 Brogan Financial 8351 E. Walker Springs Lane, Ste. 101 Knoxville, TN 37923 865-862-6800 broganfinancial.com TD Ameritrade 12 4 / NA / NA 1 / Knoxville $168,593,864 $157,150,638 / $11,443,226 459 NA $367,198 100% / NA / NA 100% / NA / NA Jim Brogan President, Chief Investment Officer 2001 12 11 McBrearty Capital Management 8901 Sony Lane Knoxville, TN 37923 865-693-5300 mcbreartycapital.com Schwab Institutional 4 2 / NA / NA 1 / Knoxville $155,000,000 NA / NA NA NA NA 95% / 4% / 1% 100% / NA / NA Martin McBrearty Rachel J. Hacker Presidents 2000 13 12 LeConte Wealth Management 703 William Blount Drive Maryville, TN 37801 865-379-8200 lecontewealth.com TD Ameritrade, Schwab 8 3 / NA / NA 1 / Maryville $147,000,000 $147,000,000 / NA 163 NA $901,840 95% / 3% / 2% 100% / NA / NA Kevin Painter Hoy Grimm Jon Dockery Managing Partner Managing partner CPA 2007 14 14 Retirement Planning Services 9729 Cogdill Road, Ste. 302 Knoxville, TN 37932 865-220-9311 seriousretirement.com NFS 5 2 / 2 / NA NA / NA $110,000,000 NA / NA NA NA NA 99% / 1% / 0% NA / NA / NA Spencer Hall President 1985 14 13 Visionary Horizons Wealth Management 620 Mabry Hood Road, Ste. 102 Knoxville, TN 37932 865-675-8496 visionaryhorizons.com Schwab Institutional, TD Ameritrade 7 5 / 5 / NA 2 / Knoxville, Kingston $110,000,000 $110,000,000 / NA 700 $250,000 $175,000 90% / 5% / 5% 90% / 5% / 5% Roger Kiger Chief manager3 2008 16 15 Resource Advisory Services 2095 Lakeside Centre Way, Ste. 105 Knoxville, TN 37922 865-560-0140 resourceadv.com Charles Schwab & Co. 5 2 / 2 / NA 1 / Knoxville $99,584,673 $87,138,166 / $12,446,507 75 NA $1,327,796 90% / 10% / NA NA / NA / 100%4 J. David Lewis R. Bryan Hankla Principal, founder Principal, CFP 1985 17 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 $60,000,000 NA / NA NA NA NA 99% / 1% / NA 100% / 0% / NA Paul W. Cochran President 2006 18 18 Financial Counseling & Administration 3039 Kingston Pike, Apt. # 5 Knoxville, TN 37919 865-525-9793 johnsmarttcpa.com TD Ameritrade Institutional 1 1 / NA / NA 1 / Knoxville $37,655,000 $37,655,000 / $0 65 $100,000 $579,300 95% / NA / 5% 100% / 0% / 0% John Smartt Jr. Owner, CPA 1992 1 Employees at this office who perform investment advisory functions, incl. research; 2 Chartered financial analysts; 3 Wealth strategist; 4 Fee-only Source: Individual company representatives, individual company websites.If you notice an error or omission, please contact Angela Akers at 865-342-6424 or lists@knoxvillebiz.com.