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 2020 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
'19
'18CompanyPhone
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, NA 37902-1669
8655414747
NA
Client directed
8
5 / NA / 4
1 / Knoxville
$1,499,205,018
$1,499,205,018 / NA
105
$2,500,000
$14,278,143
84% / 11% / 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.
23
14 / 14 / 1
1 / Knoxville
$1,005,084,282
$1,003,955,015 / $1,129,267
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
NA / NA / NA
1 / 1
$728,221,572
$468,175,591 / $260,045,981
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
13
6 / 6 / 1
1 / Knoxville
$630,844,483
NA / NA
NA
NA
NA
NA / NA / NA
100% / NA / NA
J. William Waltman, Jr.
Melissa Ballard
President
Director of financial planning services
2005
55Proffitt & Goodson
4800 Old Kingston Pike, Ste. 200
Knoxville, TN 37919
865-584-1850
proffittgoodson.com
Various
9
6 / NA / 3
NA / Knoxville
$442,822,557
$441,494,767 / $1,327,790
NA
NA
NA
NA / NA / NA
100% / NA / NA
David N. Goodson
President
1987
66Tennessee Valley Asset Management Partners
6025 Brookvale Lane, Ste. 160
Knoxville, TN 37919
865-226-9982
tvamp.net
LPL Financial
21
12 / NA / NA
5 / Knoxville, Seymour, LaFollette, Oak Ridge
$316,125,625
NA / NA
NA
NA
NA
NA / NA / NA
NA / NA / NA
Jeff Foster
Scott Fisher
Jeff Sweat
CCO, CFP
Wealth advisor
MBA
2012
712Brogan Financial
8351 E. Walker Springs Lane, Ste. 101
Knoxville, TN 37923
865-862-6800
broganfinancial.com
TD Ameritrade
13
4 / 0 / 0
1 / Knoxville
$234,030,976
$223,830,638 / $10,200,338
1,750
NA
NA
100% / 0% / 0%
100% / 0% / 0%
Jim Brogan
Founder, president, chief investment officer
2001
87Asset Planning Corporation
234 S. Peters Road, Ste. 102
Knoxville, TN 37923
888-690-1231
assetplanningcorp.com
Charles Schwab & Co.
6
3 / 3 / NA
1 / Knoxville
$229,000,000
$224,000,000 / $5,000,000
202
NA
$1,134,000
97% / 3% / 0%
100% / 0% / 0%
Paul K. Fain
President, CFP
1975
98The Nalls Sherbakoff Group
9724 Kingston Pike
Knoxville, TN 37922
865-691-0898
nallssherbakoff.com
Charles Schwab & Co
6
3 / NA / NA
1 / NA
$227,455,800
$201,356,500 / $26,099,300
NA
NA
NA
87% / 10% / 3%
100% / NA / NA
Donald E. Nalls
T. Lee Sherbakoff
Partner
Managing partner
2014
109NBZ Investment Advisors, LLC
4110 Sutherland Ave.
Knoxville, TN 37919
865-584-1184
nbzinvest.com
Charles Schwab & Co.
NA
3 / 5 / NA
1 / Knoxville
$221,261,469
$221,261,469 / $0
374
NA
NA
100% / NA / NA
100% / NA / NA
Rick Zivi
Managing member
1995
1111Creekside Capital Inc.3
8901 Sony Lane
Knoxville, TN 37923
865-693-5300
creeksidecapitalinc.com
Schwab Institutional
3
2 / NA / NA
1 / Knoxville
$178,000,000
NA / $178,000,000
200
NA
NA
95% / 4% / 1%
100% / 0% / 0%
Martin McBrearty
Rachel J. Hacker
Presidents
2000
1215Visionary 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
$141,600,000
$134,550,000 / $7,050,000
850
$250,000
NA
90% / 5% / 5%
95% / 0% / 5%
Roger Kiger
CEO
2008
1313Retirement Planning Services
9729 Cogdill Road, Ste. 302
Knoxville, TN 37932
865-220-9311
seriousretirement.com
NFS
5
2 / 2 / NA
NA / NA
$137,242,219
NA / NA
NA
NA
NA
99% / 1% / 0%
NA / NA / NA
Spencer Hall
President
1985
1416Resource Advisory Services
2095 Lakeside Centre Way, Ste. 105
Knoxville, TN 37922
865-560-0140
resourceadv.com
Charles Schwab & Co.
5
2 / NA / NA
1 / Knoxville
$113,358,544
$98,578,440 / $14,810,104
81
NA
$1,399,488
90% / 10% / NA
NA / NA / 100%4
J. David Lewis
R. Bryan Hankla
Principal, founder
Principal, CFP
1985
1517Leading Edge Financial Planning
6921 Office Park Circle
Knoxville, TN 37909
865-240-2292
leadingedgeplanning.com
Charles Schwab
3
2 / 2 / 0
1 / Knoxville
$95,000,000
$95,000,000 / $0
650
$0
$150,000
100% / 0% / 0%
0% / 0% / 100%
Charlie Mattingly
Kevin Gormley
CEO
CFO
2015
1618Providence Wealth Management
2030 Falling Waters Road, Ste. 175
Knoxville, TN 37922
865-691-6699
providenceadvisors.com
TD Ameritrade
7
2 / 2 / NA
1 / Knoxville
$76,500,000
NA / NA
NA
NA
NA
99% / 1% / NA
100% / 0% / NA
Paul W. Cochran
President
2006
17NRFinancial Counseling & Administration
3039 Kingston Pike, Apt. # 5
Knoxville, TN 37919
865-525-9793
johnsmarttcpa.com
TD Ameritrade Institutional
1
1 / NA / NA
NA / Knoxville
$43,500,000
$43,500,000 / $0
72
$100,000
$604,000
92% / 3% / 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 Formerly McBrearty Capital Management; 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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