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Knoxville-Area Registered Investment Advisory Firms Ranked By Assets Under Local Management
Rank
'13
'12CompanyPhone
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 & Co. Investment Counsel3
Two Centre Square Ste. 200, 625 S. Gay St.
Knoxville, TN 37902
865-541-4747
NA
Client directed
14
9 / NA / 6
1 / Knoxville
$1,985,000,0004
$1,985,000,000 / NA
2655
$2,500,000
$7,500,000
75% / 15% / 10%
100% / NA / NA
A. David Martin
Chairman, founder
1989
23Patriot Investment Management
9721 Cogdill Road, Ste. 101
Knoxville, TN 37932
865-777-2479
patriotinvestment.com
Charles Schwab & Co.
20
14 / NA / NA
1 / Knoxville
$527,242,000
NA / NA
NA
NA
NA
80% / 20% / NA
100% / NA / NA
Brad Bower
President
1993
32PYA Waltman Capital
2076 Lakeside Centre Way
Knoxville, TN 37922
865-693-6301
pyawaltman.com
Various
9
5 / 5 / 1
1 / Knoxville
$469,905,608
NA / NA
NA
$500,000
NA
NA / NA / NA
100% / NA / NA
J. William Waltman Jr.
President
2005
45Rather & Kittrell
11905 Kingston Pike
Knoxville, TN 37934
865-218-8400
rkcapital.com
Fidelity Investments
15
8 / 5 / 0
1 / 1
$263,255,518
$213,599,192 / $49,656,326
NA
NA
NA
95% / 5% / NA
100% / 0% / NA
Lytle Rather
President
2000
54Proffitt & Goodson
4800 Old Kingston Pike, Ste. 200
Knoxville, TN 37919
865-584-1850
proffittgoodson.com
Various
NA
NA / NA / NA
NA / Knoxville
$253,628,735
$251,742,020 / $1,886,715
NA
NA
NA
NA / NA / NA
100% / NA / NA
David N. Goodson
President
1987
66Coulter & Justus Wealth Advisors
9717 Cogdill Road, Ste. 201
Knoxville, TN 37932
865-481-0385
cjwealth.com
NA
7
5 / 0 / 0
2 / Knoxville, Oak Ridge
$240,000,000
NA / NA
NA
NA
NA
99% / 1% / NA
100% / 0% / NA
J. Mark King
Principal
1982
7NRQuintium Advisors
9202 S. Northshore Drive, Ste. 301
Knoxville, TN 37922
865-243-8001
NA
Jefferies
8
5 / 0 / 0
1 / Knoxville
$167,729,548
$167,729,548 / $0
5
NA
$33,545,910
0% / 100% / 0%
100% / 0% / 0%
George Hashbarger Jr.
Founding partner, CEO
2007
87Asset Planning Corporation
234 S. Peters Road, Ste. 102
Knoxville, TN 37923
865-690-1231
assetplanningcorp.com
Charles Schwab & Co.
4
3 / 3 / NA
1 / Knoxville
$138,302,351
$134,080,990 / $4,221,361
139
$500,000
$928,000
94% / 5% / 1%
100% / 0% / 0%
Paul K. Fain
President
1975
99NBZ Investment Advisors
4110 Sutherland Ave.
Knoxville, TN 37919
865-584-1184
nbzcpa.com
Charles Schwab & Co.
7
4 / 2 / NA
1 / Knoxville
$129,718,920
$128,849,428 / $869,492
305
$0
$425,000
100% / NA / NA
100% / NA / NA
Rick Zivi
Managing member
1995
108Brogan Financial
8351 E. Walker Springs Lane, Ste. 101
Knoxville, TN 37923
865-862-6800
broganfinancial.com
TD Ameritrade
10
2 / 0 / 0
1 / Knoxville
$120,500,000
$114,500,000 / $6,000,000
418
NA
$288,277
100% / NA / NA
100% / NA / NA
Jim Brogan
President, Chief Investment Officer
2001
11NRLeConte Wealth Management
703 William Blount Drive
Maryville, TN 37801
865-379-8200
lecontewealth.com
TD Ameritrade
4
3 / 0 / 0
1 / Maryville
$116,335,000
$116,335,000 / $0
320
$100,000
$363,546
95% / 3% / 2%
100% / NA / NA
Kevin Painter
Hoy Grimm
Managing partners
2007
1210Visionary Horizons Wealth Management
620 Mabry Hood Road, Ste. 102
Knoxville, TN 37932
865-675-8496
visionaryhorizons.com
Schwab Institutional
7
5 / 4 / 0
2 / Knoxville, Kingston
$95,000,000
$70,000,000 / $25,000,000
200
$250,000
$475,000
90% / 5% / 5%
90% / 10% / NA
Roger Kiger
Chief manager6
2008
1311Resource Advisory Services
2099 Thunderhead Road, Ste. 201
Knoxville, TN 37922
865-560-0140
resourceadv.com
Charles Schwab & Co.
5
2 / 2 / NA
1 / Knoxville
$83,757,616
$69,337,739 / $14,419,877
76
NA
$1,102,000
90% / 10% / NA
NA / NA / 100%7
J. David Lewis
R. Bryan Hankla
Principal/Founder
Principal & CFP
1985
14NRTennessee Valley Asset Management Partners
11566 Chapman Highway
Seymour, TN 37865
865-577-1922
tvamp.net
LPL Financial
7
4 / 4 / 08
3 / Knoxville, Seymour, LaFollette
$81,000,000
$81,000,000 / $0
NA
NA
NA
NA / NA / NA
NA / NA / NA
Jeff Foster
Scott Fisher
Jeff Sweat
CCO, CFP
Wealth advisor
MBA
2012
1513CTM Financial
10107 Sherrill Blvd.
Knoxville, TN 37932
865-777-2325
ctmfin.com
TD Ameritrade
4
3 / 3 / NA
NA / Knoxville
$72,800,000
NA / NA
165
NA
NA
95% / 5% / NA
100% / NA / NA
Patricia Conry Taylor
CPA, PFS
2010
1614Financial Counseling & Administration
2001 Partridge Run Lane
Knoxville, TN 37919
865-588-4159
johnsmarttcpa.com
TD Ameritrade Institutional
1
1 / NA / NA
1 / Knoxville
$30,800,000
$30,800,000 / NA
65
$100,000
$475,000
96% / NA / 4%
100% / 0% / 0%
John Smartt Jr.
Owner, CPA
1992
1715Quality Financial Concepts
115 W. Broadway Ave.
Maryville, TN 37801
865-984-3550
qualityfinancial.com
TD Ameritrade, Pershing
6
3 / 3 / NA
1 / Maryville
$25,500,000
NA / NA
313
NA
$80,000
98% / 2% / 0%
55% / 40% / 5%
James D. Horn
CFP, owner
1987
1 Employees at this office who perform investment advisory functions, incl. research; 2 Chartered financial analysts; 3 All information as of 12/31/13; 4 As of 12/31/12; 5 106 clients; 6 Wealth strategist; 7 Fee-only; 8 One CFP
Source: Individual company reps., individual company Web sites.If you notice an error or omission, please contact Angela Akers at 865-342-6424 or lists@knoxvillebiz.com.

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