{"url":"https://nivawealth.com/firms/john-moore-and-associates-109791","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/109791","regulatoryAum":1028769091,"crd":"109791","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5152084","suffix":null,"lastName":"COCHRAN","firstName":"BRIAN","middleName":"JAMES"},{"crd":"6214796","suffix":null,"lastName":"FERGUSON","firstName":"GARY","middleName":"ANDREW"},{"crd":"2017584","suffix":null,"lastName":"HARTENBOWER","firstName":"GREG","middleName":"ALAN"},{"crd":"6750989","suffix":null,"lastName":"LEONIDA","firstName":"COLE","middleName":"VANCE"},{"crd":"4288152","suffix":null,"lastName":"Onesti","firstName":"John","middleName":"William"}],"total":5,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-07-20","regulatoryAum":652637261,"clients":608,"employees":9,"offices":2},{"filedOn":"2022-03-31","regulatoryAum":784705786,"clients":634,"employees":12,"offices":2},{"filedOn":"2023-03-31","regulatoryAum":722571918,"clients":662,"employees":12,"offices":2},{"filedOn":"2024-03-28","regulatoryAum":758200188,"clients":678,"employees":12,"offices":2},{"filedOn":"2025-03-31","regulatoryAum":970185554,"clients":731,"employees":13,"offices":2},{"filedOn":"2026-04-01","regulatoryAum":1028769091,"clients":729,"employees":14,"offices":2}],"secFileNumber":"801-55123","legalName":"John Moore & Associates Inc","displayName":"John Moore & Associates","slug":"john-moore-and-associates-109791","website":"https://johnmoore.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"1997","organization":"New Mexico corporation","fiscalYearEnd":"December","headquarters":{"street":"8220 San Pedro DR Ne, Suite 310","city":"Albuquerque","state":"NM","stateName":"New Mexico","country":"United States","postalCode":"87113"},"tradeNames":[],"registration":{"secApproved":"9 January 1998","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1409399.5098039217,"staff":{"employees":14,"advisory":9,"brokerDealerReps":0,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":1028769091,"discretionary":828828354,"discretionaryAccounts":2323,"nonDiscretionary":199940737,"nonDiscretionaryAccounts":360,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":488,"regulatoryAum":162522067},{"label":"High-net-worth individuals","clients":226,"regulatoryAum":843789183},{"label":"Pension and profit-sharing plans","clients":2,"regulatoryAum":5804422},{"label":"Charitable organizations","clients":8,"regulatoryAum":2742455},{"label":"Corporations and other businesses","clients":5,"regulatoryAum":13910964}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T06:07:25.831874+00:00","documents":[{"name":"JMA ADV PART 2A 3/31/2025","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1039734","versionId":1039734,"submittedOn":"2026-04-01"}]},"custodians":[{"name":"Raymond James & Associates","shortName":"Raymond James","location":"St. Petersburg, FL","smaAssets":348626309}],"custodyNote":"John Moore & Associates does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Jami Schwalm","title":"Chief Compliance Officer","crd":"4296477"},{"name":"Brian Cochran","title":"Trustee","crd":"5152084"},{"name":"Emily Wilder","title":"Trustee","crd":"5152499"}],"ownership":[{"label":"Cochran Trust Uad 8/3/15","detail":"Shareholder in the 75% or more ownership band and a control person, since January 2016."},{"label":"Brian Cochran","detail":"Trustee in the 50% to 75% ownership band and a control person, since August 2015."},{"label":"Emily Wilder","detail":"Trustee in the 50% to 75% ownership band and a control person, since August 2015."},{"label":"Leonida Family Trust - June 4, 2020","detail":"Shareholder in the 5% to 10% ownership band, since October 2025."},{"label":"Cole Leonida","detail":"Indirect owner: a trustee of Leonida Family Trust - June 4, 2020 in the 50% to 75% band and a control person, since June 2020.","parent":"Leonida Family Trust - June 4, 2020"},{"label":"Lora Leonida","detail":"Indirect owner: a trustee of Leonida Family Trust - June 4, 2020 in the 50% to 75% band and a control person, since June 2020.","parent":"Leonida Family Trust - June 4, 2020"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Arizona","offices":1,"addresses":[{"street":"14500 N Northsight BLVD","city":"Scottsdale"}]},{"state":"New Mexico","offices":1,"addresses":[{"street":"8220 San Pedro DR Ne, Suite 310","city":"Albuquerque","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"505-881-5100","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"729","assetMix":[{"label":"Exchange-traded equity securities","percent":46},{"label":"Non-exchange-traded equity securities","percent":35},{"label":"U.S. government/agency bonds","percent":2},{"label":"U.S. state and local bonds","percent":6},{"label":"Investment grade corporate bonds","percent":3},{"label":"Cash and cash equivalents","percent":8}],"privateFunds":0},"sources":{"adv1FilingDate":"1 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/109791/PDF/109791.pdf","brochureDate":"1 April 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1039734","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does John Moore & Associates have?","answer":"John Moore & Associates has 729 clients and manages $1.03 billion for them, as of April 2026. They include 488 individual clients, 226 high-net-worth individuals and 8 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 1 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does John Moore & Associates offer?","answer":"John Moore & Associates provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does John Moore & Associates use?","answer":"John Moore & Associates’ separately managed account assets are held at Raymond James & Associates (St. Petersburg, FL), with $349M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 1 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does John Moore & Associates have?","answer":"John Moore & Associates has 5 investment adviser representatives registered with state securities authorities, out of 14 employees, and 9 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does John Moore & Associates invest in?","answer":"At the end of its last fiscal year, John Moore & Associates’ separately managed accounts held 46% exchange-traded equities, 35% non-exchange-traded equities, 8% cash and equivalents, 6% state and local bonds, 3% investment grade corporate bonds and 2% U.S. government and agency bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns John Moore & Associates?","answer":"John Moore & Associates is owned through a trust by Cole and Lora Leonida. Its direct owners are Cochran Trust Uad 8/3/15 (75% or more), Brian Cochran (50% to 75%), Emily Wilder (50% to 75%) and Leonida Family Trust - June 4, 2020 (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 1 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does John Moore & Associates get paid?","answer":"John 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact John Moore & Associates?","answer":"John Moore & Associates’ main office is at 8220 San Pedro DR Ne, Suite 310, Albuquerque, NM 87113. Its phone number is 505-881-5100. Its website is johnmoore.com.","source":"Form ADV Part 1A, Item 1.F, filed 1 April 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}