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
'14
'13CompanyPhone
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
10 / NA / 7
1 / Knoxville
$1,958,000,000
$1,958,000,000 / NA
261
$2,500,000
$7,500,000
75% / 15% / 10%
100% / NA / NA
A. David Martin
Chairman, founder
1989
22Patriot Investment Management
9721 Cogdill Road, Ste. 101
Knoxville, TN 37932
865-777-2479
patriotinvestment.com
Charles Schwab & Co.
21
15 / NA / NA
1 / Knoxville
$574,010,783
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
$454,844,058
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
15
8 / 5 / 0
1 / 1
$293,635,952
$244,000,225 / $49,635,727
NA
NA
NA
95% / 5% / 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 / NA
1 / Knoxville
$274,559,562
$271,507,632 / $3,051,930
NA
NA
NA
NA / NA / NA
100% / NA / NA
David N. Goodson
President
1987
67Quintium Advisors
9202 S. Northshore Drive, Ste. 301
Knoxville, TN 37922
865-243-8001
NA
Jefferies
9
7 / NA / NA
1 / Knoxville
$178,452,679
NA / NA
NA
NA
NA
0% / 100% / 0%
100% / 0% / 0%
George Hashbarger Jr.
Founding partner, CEO
2007
79Asset Planning Corporation
234 S. Peters Road, Ste. 102
Knoxville, TN 37923
865-690-1231
assetplanningcorp.com
Charles Schwab & Co.
5
3 / 3 / 0
1 / Knoxville
$160,847,805
$156,315,669 / $4,532,136
146
$500,000
$1,101,697
94% / 5% / 1%
100% / 0% / 0%
Paul K. Fain
President
1975
86Coulter & Justus Wealth Advisors
9717 Cogdill Road, Ste. 201
Knoxville, TN 37932
865-481-0385
cjwealth.com
NA
5
4 / 0 / 0
2 / Knoxville, Oak Ridge
$158,000,000
$158,000,000 / $0
875
$25,000
$180,000
99% / 1% / NA
100% / 0% / NA
J. Mark King
Principal
1982
910NBZ Investment Advisors
4110 Sutherland Ave.
Knoxville, TN 37919
865-584-1184
nbzcpa.com
Charles Schwab & Co.
7
4 / 2 / NA
1 / Knoxville
$142,263,792
$141,392,975 / $870,818
321
$0
$443,000
100% / NA / NA
100% / NA / NA
Rick Zivi
Managing member
1995
10NRMcBrearty Capital Management
8901 Sony Lane
Knoxville, TN 37923
865-693-5300
mcbreartycapital.com
NA
4
3 / NA / NA
1 / Knoxville
$128,000,000
NA / $128,000,000
NA
$500,000
NA
95% / 4% / 1%
100% / NA / NA
Rachel J. Hacker
President
2000
1111Brogan Financial
8351 E. Walker Springs Lane, Ste. 101
Knoxville, TN 37923
865-862-6800
broganfinancial.com
TD Ameritrade
10
2 / NA / NA
1 / Knoxville
$125,000,000
NA / NA
NA
NA
NA
100% / NA / NA
100% / NA / NA
Jim Brogan
President, Chief Investment Officer
2001
1212LeConte Wealth Management
703 William Blount Drive
Maryville, TN 37801
865-379-8200
lecontewealth.com
TD Ameritrade
7
3 / 0 / NA
1 / Maryville
$115,263,144
$108,698,883 / $6,564,261
363
$250,000
$317,529
95% / 3% / 2%
100% / NA / NA
Kevin Painter
Hoy Grimm
Managing partners
2007
1313Visionary Horizons Wealth Management
620 Mabry Hood Road, Ste. 102
Knoxville, TN 37932
865-675-8496
visionaryhorizons.com
Schwab Institutional
6
5 / 4 / NA
2 / Knoxville, Kingston
$100,000,000
$100,000,000 / $0
200
$250,000
$500,000
90% / 5% / 5%
90% / 10% / NA
Roger Kiger
Chief manager4
2008
1414Resource Advisory Services
2099 Thunderhead Road, Ste. 201
Knoxville, TN 37922
865-560-0140
resourceadv.com
Charles Schwab & Co.
5
2 / 2 / NA
1 / Knoxville
$90,803,910
$74,982,238 / $15,821,672
67
NA
$1,355,282
90% / 10% / NA
NA / NA / 100%5
J. David Lewis
R. Bryan Hankla
Principal/Founder
Principal & CFP
1985
15NROak Springs Wealth Management
6341 Middlebrook Pike
Knoxville, TN 37909
865.312.7660
oakspringswealth.com
NA
4
3 / NA / NA
1 / Knoxville
$90,000,000
NA / NA
NA
NA
NA
NA / NA / NA
100% / NA / NA
Carol Johnson
Fred Lee
Owners
2012
1615Tennessee Valley Asset Management Partners
11566 Chapman Highway
Seymour, TN 37865
865-577-1922
tvamp.net
LPL Financial
9
5 / 5 / NA
3 / Knoxville, Seymour, LaFollette
$86,100,000
$86,100,000 / NA
NA
NA
NA
NA / NA / NA
NA / NA / NA
Jeff Foster
Scott Fisher
Jeff Sweat
CCO, CFP
Wealth advisor
MBA
2012
1716CTM Financial
10107 Sherrill Blvd.
Knoxville, TN 37932
865-777-2325
ctmfin.com
TD Ameritrade
4
3 / 3 / 0
1 / Knoxville
$79,519,494
$79,519,494 / $0
185
NA
NA
95% / 5% / NA
100% / NA / NA
Patricia Conry Taylor
CPA, PFS
2010
18NRTrustFirst
265 Brookview Centre Way, Ste. 504
Knoxville, TN 37919
865-583-7390
trustfirst.com
TrustFirst Inc.
12
5 / 9 / 0
1 / Knoxville
$45,552,402
$0 / $146,679,000
655
$0
$223,937
90% / 9% / 1%
31% / 69% / NA
Don Taylor
President
1995
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 Wealth strategist; 5 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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