Moon Capital Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, and portfolio management for institutions. Financial planning was provided to 1–10 clients last fiscal year. The firm advises 1 private fund.
Moon Capital Management reports 162 clients. They include 159 high-net-worth individuals, 1 pooled investment vehicle and 1 pension or profit-sharing plan. Of its assets, 100.0% ($392M across 407 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| High-net-worth individuals | 98% | 88% |
| Pooled investment vehicles | <1% | 9% |
| Pension and profit-sharing plans | <1% | 0% |
| Charitable organizations | <1% | 3% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| High-net-worth individuals | 159 | $343M | 87.5% | $2.16M |
| Pooled investment vehicles | 1 | $35.5M | 9.1% | $35.5M |
| Pension and profit-sharing plans | 1 | $0 | 0.0% | $0 |
| Charitable organizations | 1 | $13.3M | 3.4% | $13.3M |
| Total | 162 | $392M | 100% | $2.42M |
- Clients
- 159
- Regulatory AUM
- $343M
- AUM share
- 87.5%
- Avg. per client
- $2.16M
- Clients
- 1
- Regulatory AUM
- $35.5M
- AUM share
- 9.1%
- Avg. per client
- $35.5M
- Clients
- 1
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- $0
- Clients
- 1
- Regulatory AUM
- $13.3M
- AUM share
- 3.4%
- Avg. per client
- $13.3M
Total
- Clients
- 162
- Regulatory AUM
- $392M
- AUM share
- 100%
- Avg. per client
- $2.42M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 1
- Financial planning clients last fiscal year
- 1–10
Moon Capital Management is paid through a percentage of assets under management and fixed fees (other than subscription fees). The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
Wheeler Moon owns 50% to 75% of Moon Capital Management. The leadership team of Moon Capital Management includes Chief Compliance Officer Wheeler Moon. It has 6 employees, 3 of them in advisory roles.
Staff
- 6 employees
- 3 in advisory functions
- Owns 50% to 75% of Moon Capital Management LLC
Wheeler Moon
Control person · since June 1995
- Owns 10% to 25% of Moon Capital Management LLC
Tracy Dobbs
since June 1995
- Owns 5% to 10% of Moon Capital Management LLC
Ann Bailey
since June 1995
- Owns 5% to 10% of Moon Capital Management LLC
James Haslam
since June 1995
Moon Capital Management’s regulatory assets grew 1.9× from $203M (June 2020) to $392M (May 2026); clients fell from 177 to 162 and employees were 6 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| May 2026May 2026 | $392M | 162 | 6 | 1 |
| Mar 2025March 2025 | $395M | 152 | 6 | 1 |
| Mar 2024March 2024 | $278M | 168 | 6 | 1 |
| Apr 2023April 2023 | $314M | 205 | 6 | 1 |
| Aug 2021August 2021 | $216M | 179 | 6 | 1 |
| Jun 2020June 2020 | $203M | 177 | 6 | 1 |
Besides its headquarters, Moon Capital Management has 0 offices, with 1 listed address in 1 state.
Tennessee · 1 listed address
- 900 South Gay Street, Suite 2103, KnoxvilleHQ
Contact and registration details
- Legal name
- Moon Capital Management LLC
- Headquarters
- 900 South Gay Street, Suite 2103, Knoxville, TN 37902
- Website
- mooncap.com
- Phone
- 865-546-1234
- SEC file
- 801-49240
- Structure
- Tennessee LLC
- Fiscal year end
- December
Moon Capital Management’s named custodian for separately managed accounts is Charles Schwab ($278M). Moon Capital Management does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $278M100%
At year end, Moon Capital Management’s separately managed accounts were mostly in stocks (70%) and cash (15%).
What the accounts hold
- Stocks70%
- Funds3%
- Bonds4%
- U.S. government and agency bonds2%
- State and local bonds1%
- Investment grade corporate bonds1%
- Cash15%
- Other8%
- Bank cds8%
How many clients does Moon Capital Management have?
Moon Capital Management has 162 clients and manages $392 million for them, as of May 2026. They include 159 high-net-worth individuals, 1 pooled investment vehicle and 1 pension or profit-sharing plan.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 1 May 2026
What services does Moon Capital Management offer?
Moon Capital Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Moon Capital Management use?
Moon Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $278M. 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 May 2026
How many financial advisors does Moon Capital Management have?
Moon Capital Management has 0 investment adviser representatives registered with state securities authorities, out of 6 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 Moon Capital Management invest in?
At the end of its last fiscal year, Moon Capital Management’s separately managed accounts held 70% exchange-traded equities, 15% cash and equivalents, 8% other, 3% registered funds (mutual funds, ETFs, BDCs), 2% U.S. government and agency bonds, 1% state and local bonds and 1% investment grade corporate bonds. The 8% other category is described as: Bank CDS. It advises 1 private fund.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Moon Capital Management?
Moon Capital Management’s direct owners are Ann Bailey (5% to 10%), Wheeler Moon (50% to 75%), Tracy Dobbs (10% to 25%) and James Haslam (5% to 10%).
Source: Form ADV Part 1A, Schedules A and B, filed 1 May 2026
How does Moon Capital Management get paid?
Moon Capital Management 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 Moon Capital Management?
Moon Capital Management’s main office is at 900 South Gay Street, Suite 2103, Knoxville, TN 37902. Its phone number is 865-546-1234. Its website is mooncap.com.