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PATTEN AND PATTEN, INC.
CRD 105414File 801-11499
APPROVED
Retail clients
Custody
Filing as of Mar 16, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$2.21B
Top 25% of cohort (national)
Discretionary AUM
$2.19B
Non-discretionary $20.4M
Clients
879
2,156 accounts
Employees
13
Top 25% of cohort in TN
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- ARO
- Registration date
- May 12, 1976
- Principal office
- 555 WALNUT STREET, SUITE 280, CHATTANOOGA, TN, 37402
- Phone
- 423.756.3480
- Website
- HTTP://WWW.PATTENINC.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $2.21B
- Discretionary AUM
- $2.19B
- Non-discretionary AUM
- $20.4M
- Discretionary accounts
- 2,154
- Non-discretionary accounts
- 2
- Total accounts
- 2,156
- AUM per client
- $2.5M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 6 | $39.2M |
| Charitable organizations | 24 | $127.0M |
| High net worth individuals | 596 | $1.90B |
| Pension and profit sharing plans | 7 | $15.8M |
| State or municipal government entities | Fewer than 5 | $29.4M |
| Individuals (other than high net worth individuals) | 245 | $96.7M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 14 | 13 | decreased by1 |
| Apr 1, 2026 | Clients | 865 | 879 | increased by14 |
| Apr 1, 2026 | AUM | $2,063,134,203 | $2,210,816,671 | increased by$147,682,468 |
| Apr 1, 2026 | Accounts | 2,102 | 2,156 | increased by54 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 12 | 14 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | Custody | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 685 | 865 | increased by180 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $2,107,276,631 | $2,063,134,203 | decreased by$44,142,428 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,959 | 2,102 | increased by143 |
| Apr 1, 2022 | Clients | 672 | 685 | increased by13 |
| Apr 1, 2022 | AUM | $1,813,823,996 | $2,107,276,631 | increased by$293,452,635 |
| Apr 1, 2022 | Accounts | 1,957 | 1,959 | increased by2 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “PATTEN PATTEN” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“PATTEN PATTEN” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.