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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 '21 '20 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 37902-1669 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 2 2 Patriot 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 3 3 Rather & 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 4 4 PYA 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 5 6 Proffitt & 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 6 5 Tennessee 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 7 9 Asset 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 8 7 Brogan 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 9 8 NBZ 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 10 NR C&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 11 10 The 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 12 11 Creekside 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 13 12 Insight 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 14 15 The 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 15 14 Visionary 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 16 16 Leading 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 17 13 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 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 $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.