# Patten and Patten, Inc.

> Patten and Patten, Inc. is an SEC-registered investment advisory firm in Chattanooga, TN, registered since 1976, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 16, 2026.

- CRD: 105414
- Filed as: PATTEN AND PATTEN, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Chattanooga, TN
- Filing period: October 2026
- Form ADV filing dated: March 16, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/105414
- AdvisorCensus page: https://advisorcensus.com/firm/patten-and-patten-inc-chattanooga-tn-105414

## Quick answers

**How is Patten and Patten, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Patten and Patten, Inc. reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Patten and Patten, Inc. located?**
Patten and Patten, Inc.'s principal office is in Chattanooga, TN, according to its Form ADV.

**Is Patten and Patten, Inc. registered with the SEC or a state?**
Patten and Patten, Inc. is an SEC-registered investment advisory firm, registered since 1976. Status as filed: Approved. CRD 105414.

**How much does Patten and Patten, Inc. manage?**
Patten and Patten, Inc. reports $2,210,816,671 in regulatory assets under management in its Form ADV filing dated March 16, 2026 (99% discretionary).

**How have Patten and Patten, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Patten and Patten, Inc.: Regulatory assets under management: $1,813,823,996 in the October 2021 data and $2,210,816,671 in the October 2026 data, up 22%. Total employees: 12 in October 2021 and 13 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Patten and Patten, Inc. serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (596); individuals (other than high net worth individuals) (245); charitable organizations (24).

**Which custodians does Patten and Patten, Inc. use?**
Patten and Patten, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Patten and Patten, Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/105414

**What changed in Patten and Patten, Inc.'s recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 4 to 3.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $2,210,816,671
- Discretionary: $2,190,443,389
- Non-discretionary: $20,373,282

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 245 | $96,744,774 |
| High net worth individuals | 596 | $1,902,645,793 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 7 | $15,839,170 |
| Charitable organizations | 24 | $126,960,981 |
| State or municipal government entities (including government pension plans) | 1 | $29,381,535 |
| Corporations or other businesses not listed above | 6 | $39,244,418 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 1976 (50 years)
- Employees: 13 total, 3 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AL, AR, CA, CO, CT, DC, DE, FL, GA, ID, IL, IN, KS, KY, MA, MD, ME, MI, MN, MO, MS, NC, NH, NJ, NM, NY, OH, OK, OR, SC, TN, TX, UT, VA, VT, WA, WI, WV
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- patteninc.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $1,813,823,996 | 12 | May 3, 2021 |
| October 2022 | $2,107,276,631 | 12 | March 21, 2022 |
| October 2023 | $1,745,525,094 | 12 | June 20, 2023 |
| October 2024 | $1,933,601,275 | 12 | March 26, 2024 |
| October 2025 | $2,063,134,203 | 14 | March 26, 2025 |
| October 2026 | $2,210,816,671 | 13 | March 16, 2026 |

Regulatory assets under management: $1,813,823,996 in the October 2021 data and $2,210,816,671 in the October 2026 data, up 22%.
Total employees: 12 in October 2021 and 13 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 4 to 3.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Patten and Patten, Inc. (CRD 105414): Form ADV filing data as of October 2026.