Brooks, Moore & Associates provides portfolio management for individuals and small businesses and portfolio management for institutions.
Brooks, Moore & Associates reports 177 clients. They include 95 high-net-worth individuals, 70 individual clients, and 12 corporations and other businesses. Of its assets, 98.2% ($342M across 346 accounts) are managed with discretion; $6.43M across 2 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 40% | 7% |
| High-net-worth individuals | 54% | 81% |
| Charitable organizations | Fewer than 5 | 2% |
| Corporations and other businesses | 7% | 10% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 70 | $24.2M | 6.9% | $346K |
| High-net-worth individuals | 95 | $282M | 80.9% | $2.97M |
| Charitable organizations | Fewer than 5 | $7.3M | 2.1% | — |
| Corporations and other businesses | 12 | $35M | 10.0% | $2.92M |
| Total | 177 | $349M | 100% | — |
- Clients
- 70
- Regulatory AUM
- $24.2M
- AUM share
- 6.9%
- Avg. per client
- $346K
- Clients
- 95
- Regulatory AUM
- $282M
- AUM share
- 80.9%
- Avg. per client
- $2.97M
- Clients
- Fewer than 5
- Regulatory AUM
- $7.3M
- AUM share
- 2.1%
- Avg. per client
- —
- Clients
- 12
- Regulatory AUM
- $35M
- AUM share
- 10.0%
- Avg. per client
- $2.92M
Total
- Clients
- 177
- Regulatory AUM
- $349M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
Brooks, Moore & Associates charges 0.50%–1.00% a year for its Fee Schedule for Asset Management. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.
| Asset band | Annual rate |
|---|---|
| $0–$500K | 1.00% |
| $500K–$3M | 0.75% |
| $3M and above | 0.50% |
Fee details and sources
Richard Moore owns 50% to 75% of Brooks, Moore & Associates. The leadership team of Brooks, Moore & Associates includes Chief Compliance Officer Jay Brooks. It has 5 employees, 3 of them in advisory roles.
Leadership
- Jay BrooksChief Compliance Officer, VP, Portfolio Manager
- Jay BrooksManaging Director
- Richard MooreManaging Director
Investment adviser representatives
3 representatives listed in the SEC register as of 9 October 2026.
- Jay William Brooks
- Jay William Brooks Jr.
- Richard Logan Moore
Staff
- 5 employees
- 3 in advisory functions
- 3 state-registered reps
- Owns 50% to 75% of Brooks, Moore & Associates, Inc.
Richard Moore
Control person · since August 1995
- Owns 25% to 50% of Brooks, Moore & Associates, Inc.
Jay Brooks
Control person · since March 1986
Brooks, Moore & Associates’ regulatory assets grew from $264M (March 2021) to $349M (March 2026); clients rose from 138 to 177 and employees fell from 6 to 5.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $349M | 177 | 5 | 1 |
| Mar 2025March 2025 | $314M | 176 | 6 | 1 |
| Mar 2024March 2024 | $286M | 182 | 6 | 1 |
| Mar 2023March 2023 | $268M | 164 | 6 | 1 |
| Mar 2022March 2022 | $296M | 153 | 6 | 1 |
| Mar 2021March 2021 | $264M | 138 | 6 | 1 |
Besides its headquarters, Brooks, Moore & Associates has 0 offices, with 1 listed address in 1 state.
Tennessee · 1 listed address
- 3905 Saint Elmo Avenue, ChattanoogaHQ
Contact and registration details
- Legal name
- Brooks, Moore & Associates, Inc.
- Headquarters
- 3905 Saint Elmo Avenue, Chattanooga, TN 37409-1239
- Website
- brooksmoore.net
- Phone
- 423-756-8628
- SEC file
- 801-26708
- Founded
- 1986
- Structure
- Tennessee corporation
- Fiscal year end
- December
Brooks, Moore & Associates’ named custodians for separately managed accounts are Charles Schwab ($202M, 61%), Regions Bank ($68.9M, 21%) and First Horizon National Association ($61.5M, 19%). Brooks, Moore & Associates does not have custody of client assets.
- Regions BankRegions Bank · Birmingham, AL · $68.9M21%
- First Horizon National AssociationFirst Horizon National Association · Chattanooga, TN · $61.5M19%
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $202M61%
At year end, Brooks, Moore & Associates’ separately managed accounts were largely in stocks (48%) and funds (30%). Its reported 13F holdings for the quarter ended 30 June 2026 total $223M across 114 positions; the largest are JPMORGAN Chase & CO (4.2%), Johnson & Johnson (3.9%) and Vanguard Index Fds (3.9%).
What the accounts hold
- Stocks48%
- Funds30%
- Bonds12%
- Investment grade corporate bonds6%
- U.S. government and agency bonds4%
- State and local bonds2%
- Cash10%
Reported 13F holdings
- $223M
- Reported 13F value
- 114
- Positions
- 34.9%
- In the 10 largest
- +11.8%
- Value vs. prior quarter
- JPMORGAN Chase & CO4.2%
- Johnson & Johnson3.9%
- Vanguard Index Fds · S & P 500 ETF Shs3.9%
- Coca Cola CO3.4%
- Microsoft Corp.3.4%
- Alphabet Inc. · Cap Stk CL A3.4%
- JP Morgan Exchange-traded F · Ultra Shrt Inc.3.4%
- Abbvie Inc.3.3%
- Schwab Strategic TR · Fundamental Intl3.2%
- Cisco Sys Inc.2.8%
Together, the ten largest are 34.9% of reported value.
How many clients does Brooks, Moore & Associates have?
Brooks, Moore & Associates has 177 clients and manages $349 million for them, as of March 2026. They include 95 high-net-worth individuals, 70 individual clients, and 12 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 29 March 2026
What services does Brooks, Moore & Associates offer?
Brooks, Moore & Associates provides portfolio management for individuals and small businesses and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Brooks, Moore & Associates charge?
Brooks, Moore & Associates charges 0.50%–1.00% a year for its Fee Schedule for Asset Management. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.
Which custodians does Brooks, Moore & Associates use?
Brooks, Moore & Associates’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $202M, Regions Bank (Birmingham, AL), with $68.9M and First Horizon National Association (Chattanooga, TN), with $61.5M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 29 March 2026
How many financial advisors does Brooks, Moore & Associates have?
Brooks, Moore & Associates has 3 investment adviser representatives registered with state securities authorities, out of 5 employees, and 3 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Brooks, Moore & Associates invest in?
At the end of its last fiscal year, Brooks, Moore & Associates’ separately managed accounts held 48% exchange-traded equities, 30% registered funds (mutual funds, ETFs, BDCs), 10% cash and equivalents, 6% investment grade corporate bonds, 4% U.S. government and agency bonds and 2% state and local bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Brooks, Moore & Associates?
Brooks, Moore & Associates’ direct owners are Jay Brooks (25% to 50%) and Richard Moore (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 29 March 2026
How does Brooks, Moore & Associates get paid?
Brooks, Moore & Associates is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Brooks, Moore & Associates?
Brooks, Moore & Associates’ main office is at 3905 Saint Elmo Avenue, Chattanooga, TN 37409-1239. Its phone number is 423-756-8628. Its website is brooksmoore.net.