Greater Knoxville Book of Lists | Knox.biz

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Knoxville-Area Registered Investment Advisory Firms Ranked By Assets Under Local Management
Rank
'21
'20CompanyPhone
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
865-541-4747
martin-co.com
Client directed
6
5 / NA / 4
1 / Knoxville
$1,627,669,415
$1,627,669,415 / NA
122
$500,000
$13,341,536
87% / 8% / 5%
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.
26
17 / 18 / 1
1 / Knoxville
$1,472,685,853
$1,467,685,252 / $5,000,601
4,588
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
23
15 / 0 / 0
1 / 1
$1,057,573,647
NA / NA
NA
NA
NA
80% / 20% / NA
100% / 0% / NA
Lytle Rather
President
2000
44PYA Waltman Capital, LLC3
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
56Proffitt & Goodson
4800 Old Kingston Pike, Ste. 200
Knoxville, TN 37919
865-584-1850
proffittgoodson.com
Various
9
6 / NA / 3
NA / Knoxville
$609,568,455
$594,316,633 / $15,251,822
NA
NA
NA
NA / NA / NA
100% / NA / NA
David N. Goodson
President
1987
65Tennessee Valley Asset Management Partners
6025 Brookvale Lane, Ste. 160
Knoxville, TN 37919
865-226-9982
tvamp.net
LPL Financial
26
15 / 14 / 1
4 / Knoxville, Seymour, LaFollette, Oak Ridge
$563,425,000
NA / NA
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
79Asset Planning Corporation
234 S. Peters Road, Ste. 102
Knoxville, TN 37923
888-690-1231
assetplanningcorp.com
Charles Schwab & Co.
8
4 / 3 / NA
1 / Knoxville
$310,000,000
$304,000,000 / $6,000,000
224
NA
$1,501,000
99% / 1% / 0%
100% / 0% / 0%
Paul K. Fain
Executive chairman, CFP
1975
87Brogan Financial
8351 E. Walker Springs Lane, Ste. 101
Knoxville, TN 37923
865-862-6800
broganfinancial.com
TD Ameritrade
14
4 / NA / NA
1 / Knoxville
$302,795,085
$289,986,194 / $12,808,891
NA
NA
NA
100% / 0% / 0%
100% / 0% / 0%
Jim Brogan
Founder, president, chief investment officer
2001
98NBZ Investment Advisors, LLC
6322 Deane Hill Drive
Knoxville, TN 37919
865-584-1184
nbzinvest.com
Charles Schwab & Co.
4
3 / NA / NA
1 / Knoxville
$264,735,776
$264,735,776 / NA
386
NA
NA
100% / NA / NA
100% / NA / NA
Rick Zivi
Managing member
1995
10NRC&J Wealth Advisors
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
1110The Nalls Sherbakoff Group
9724 Kingston Pike
Knoxville, TN 37922
865-691-0898
nallssherbakoff.com
Charles Schwab & Co.
4
2 / NA / NA
1 / Knoxville
$218,720,400
$239,516,000 / $39,733,000
759
NA
NA
85% / 12% / 3%
100% / NA / NA
Donald E. Nalls
T. Lee Sherbakoff
Partners
2014
1211Creekside 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
1312Insight Strategic Wealth, LLC
10107 Sherrill Blvd.
Knoxville, TN 37932
865-777-2325
insightstrategicwealth.com
TD Ameritrade
4
3 / 3 / 0
1 / Knoxville
$174,700,000
$172,700,000 / $2,000,000
157
$400,000
$1,112,700
100% / 0% / NA
100% / NA / NA
Patricia Conry Taylor
CPA, PFS, RLP
2010
1415The Mather Group, LLC4
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%5
R. Bryan Hankla
J. David Lewis
Director of wealth management, CFP
Director of wealth management
2020
1514Visionary Horizons Wealth Management
620 Mabry Hood Road, Ste. 102
Knoxville, TN 37932
865-675-8496
visionaryhorizons.com
Schwab Institutional, TD Ameritrade
6
5 / 2 / 0
2 / Knoxville, Kingston
$170,000,000
$153,000,000 / $17,000,000
750
$100,000
$85,000
90% / 5% / 5%
95% / 0% / 5%
Roger Kiger
CEO
2008
1616Leading Edge Financial Planning
6921 Office Park Circle6
Knoxville, TN 37909
865-240-2292
leadingedgeplanning.com
Charles Schwab & Co., Interactive Brokers
5
6 / 4 / 0
2 / Knoxville, Maryville
$165,000,000
$165,000,000 / $0
750
$0
$220,000
100% / 0% / 0%
0% / 0% / 100%
Charlie Mattingly
Kevin Gormley
CEO
CFO
2015
1713Retirement 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
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
$105,000,000
$104,000,000 / 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 Information from 2020 survey and company website; 4 Formerly Resource Advisory Services; 5 Fee-only; 6 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.

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