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. It is your instant reference tool for finding a company's top local executive, background on a specific industry, and much more. 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 Angela Akers at 865-342-6424 or lists@knoxvillebiz.com.


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Knoxville-Area Registered Investment Advisory Firms Ranked By Assets Under Local Management
Rank
'15
'14CompanyPhone
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
12
9 / NA / 6
1 / Knoxville
$1,702,000,000
$1,702,000,000 / NA
265
$2,500,000
$6,400,000
75% / 15% / 10%
100% / NA / NA
William E. Woodson Jr.
President, CEO
1989
22Patriot Investment Management
9721 Cogdill Road, Ste. 101
Knoxville, TN 37932
865-777-2479
patriotinvestment.com
Charles Schwab & Co.
24
16 / NA / NA
1 / Knoxville
$638,194,395
NA / NA
NA
NA
NA
80% / 20% / NA
100% / NA / NA
Brad Bower
President
1993
33PYA Waltman Capital
2076 Lakeside Centre Way
Knoxville, TN 37922
865-693-6301
pyawaltman.com
Various
9
5 / 5 / 1
1 / Knoxville
$475,230,000
NA / NA
NA
$500,000
NA
NA / NA / NA
100% / NA / NA
J. William Waltman Jr.
President
2005
44Rather & Kittrell
11905 Kingston Pike
Knoxville, TN 37934
865-218-8400
rkcapital.com
Fidelity Investments
16
9 / 6 / NA
1 / 1
$389,524,876
NA / NA
NA
NA
NA
90% / 10% / NA
100% / 0% / NA
Lytle Rather
President
2000
55Proffitt & Goodson
4800 Old Kingston Pike, Ste. 200
Knoxville, TN 37919
865-584-1850
proffittgoodson.com
Various
6
4 / NA / 1
1 / Knoxville
$293,295,464
$290,272,194 / $3,023,270
NA
NA
NA
NA / NA / NA
100% / NA / NA
David N. Goodson
President
1987
66Quintium Advisors
9202 S. Northshore Drive, Ste. 301
Knoxville, TN 37922
865-243-8001
NA
Jefferies
8
5 / 0 / 0
1 / Knoxville
$209,700,000
NA / NA
5
NA
NA
0% / 100% / 0%
100% / 0% / 0%
George Hashbarger Jr.
Founding partner, CEO
2007
78C&J Wealth Advisors4
575 Oak Ridge Turnpike, Ste. 203
Oak Ridge, TN 37932
865-481-0385
cjwealth.com
TD Ameritrade
6
3 / 0 / 0
2 / Knoxville, Oak Ridge
$178,000,000
$168,000,000 / $10,000,000
NA
NA
NA
99% / 1% / NA
100% / 0% / NA
J. Mark King
Principal
1982
87Asset Planning Corporation
234 S. Peters Road, Ste. 102
Knoxville, TN 37923
865-690-1231
assetplanningcorp.com
Charles Schwab & Co.
5
NA / NA / NA
1 / Knoxville
$170,000,000
NA / NA
NA
NA
NA
94% / 5% / 1%
100% / 0% / 0%
Paul K. Fain
President
1975
910McBrearty Capital Management
8901 Sony Lane
Knoxville, TN 37923
865-693-5300
mcbreartycapital.com
NA
4
2 / 2 / NA
1 / Knoxville
$160,000,000
NA / $160,000,000
210
$500,000
$750,000
95% / 4% / 1%
100% / NA / NA
Martin McBrearty
Rachel J. Hacker
Presidents
2000
109NBZ Investment Advisors
4110 Sutherland Ave.
Knoxville, TN 37919
865-584-1184
nbzinvest.com
Charles Schwab & Co.
NA
NA / 2 / NA
1 / Knoxville
$157,567,087
$157,567,087 / NA
350
NA
NA
100% / NA / NA
100% / NA / NA
Rick Zivi
Managing member
1995
1111Brogan Financial
8351 E. Walker Springs Lane, Ste. 101
Knoxville, TN 37923
865-862-6800
broganfinancial.com
TD Ameritrade
8
3 / NA / NA
1 / Knoxville
$141,150,000
NA / NA
NA
NA
NA
100% / NA / NA
100% / NA / NA
Jim Brogan
President, Chief Investment Officer
2001
1216Tennessee Valley Asset Management Partners
11566 Chapman Highway
Seymour, TN 37865
865-577-1922
tvamp.net
LPL Financial
10
4 / 5 / NA
3 / Knoxville, Seymour, LaFollette
$135,000,000
$99,000,000 / $36,000,000
NA
NA
NA
NA / NA / NA
60% / 30% / 10%
Jeff Foster
Scott Fisher
Jeff Sweat
CCO, CFP
Wealth advisor
MBA
2012
1312LeConte Wealth Management
703 William Blount Drive
Maryville, TN 37801
865-379-8200
lecontewealth.com
TD Ameritrade
7
3 / NA / NA
1 / Maryville
$112,000,000
$110,000,000 / $2,000,000
NA
NA
NA
95% / 3% / 2%
100% / NA / NA
Kevin Painter
Hoy Grimm
Managing partners
2007
1413Visionary Horizons Wealth Management
620 Mabry Hood Road, Ste. 102
Knoxville, TN 37932
865-675-8496
visionaryhorizons.com
Schwab Institutional, TD Ameritrade
7
4 / 3 / 0
2 / Knoxville, Kingston
$110,000,000
$98,000,000 / $17,000,000
450
$250,000
$500,000
90% / 5% / 5%
90% / 10% / NA
Roger Kiger
Chief manager5
2008
1514Resource Advisory Services
2099 Thunderhead Road, Ste. 201
Knoxville, TN 37922
865-560-0140
resourceadv.com
Charles Schwab & Co.
5
2 / 2 / NA
1 / Knoxville
$96,711,218
$76,116,582 / $20,594,636
69
NA
$1,401,612
90% / 10% / NA
NA / NA / 100%6
J. David Lewis
R. Bryan Hankla
Principal, founder
Principal, CFP
1985
1617CTM Financial
10107 Sherrill Blvd.
Knoxville, TN 37932
865-777-2325
ctmfin.com
TD Ameritrade
NA
NA / NA / NA
NA / Knoxville
$74,097,953
$74,097,953 / NA
NA
NA
NA
95% / 5% / NA
100% / NA / NA
Patricia Conry Taylor
CPA, PFS
2010
1718TrustFirst
265 Brookview Centre Way, Ste. 504
Knoxville, TN 37919
865-583-7390
trustfirst.com
TrustFirst, Fidelity, Schwab
12
5 / 9 / NA
1 / NA
$48,954,534
$16,500,432 / $32,454,534
176
NA
$278,147
98% / 1% / 1%
100% / 0% / 0%
Donald O. Taylor
President
1995
18NRFinancial Counseling & Administration
2001 Partridge Run Lane
Knoxville, TN 37919
865-588-4159
johnsmarttcpa.com
TD Ameritrade Institutional
1
1 / NA / NA
1 / Knoxville
$37,600,000
$37,600,000 / $37,600,000
70
$100,000
$540,000
96% / NA / 4%
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 All information as of 12/31/14; 4 Formerly Coulter & Justus Wealth Advisors; 5 Wealth strategist; 6 Fee-only
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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