{"url":"https://nivawealth.com/firms/moon-capital-management-107612","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/107612","regulatoryAum":391505956,"crd":"107612","history":[{"filedOn":"2020-06-26","regulatoryAum":202546146,"clients":177,"employees":6,"offices":1},{"filedOn":"2021-08-06","regulatoryAum":216268792,"clients":179,"employees":6,"offices":1},{"filedOn":"2023-04-20","regulatoryAum":313671735,"clients":205,"employees":6,"offices":1},{"filedOn":"2024-03-28","regulatoryAum":278382171,"clients":168,"employees":6,"offices":1},{"filedOn":"2025-03-31","regulatoryAum":395173915,"clients":152,"employees":6,"offices":1},{"filedOn":"2026-05-01","regulatoryAum":391505956,"clients":162,"employees":6,"offices":1}],"secFileNumber":"801-49240","legalName":"Moon Capital Management LLC","displayName":"Moon Capital Management","slug":"moon-capital-management-107612","website":"https://mooncap.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Tennessee limited liability company","fiscalYearEnd":"December","headquarters":{"street":"900 South Gay Street, Suite 2103","city":"Knoxville","state":"TN","stateName":"Tennessee","country":"United States","postalCode":"37902"},"tradeNames":[],"registration":{"secApproved":"22 June 1995","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":2155397.572327044,"staff":{"employees":6,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":391505956,"discretionary":391505956,"discretionaryAccounts":407,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":159,"regulatoryAum":342708214},{"label":"Pooled investment vehicles","clients":1,"regulatoryAum":35469060},{"label":"Pension and profit-sharing plans","clients":1,"regulatoryAum":0},{"label":"Charitable organizations","clients":1,"regulatoryAum":13328682}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T08:15:24.432441+00:00","documents":[{"name":"ADV PART II - APRIL 30, 2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043662","versionId":1043662,"submittedOn":"2026-05-01"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":278382171}],"custodyNote":"Moon Capital Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Wheeler Moon","title":"Chief Manager, Chief Compliance Officer","crd":"4411983"},{"name":"Ann Bailey","title":"Member","crd":"6462025"},{"name":"Tracy Dobbs","title":"Member","crd":"4411989"},{"name":"James Haslam","title":"Member","crd":"5497778"}],"ownership":[{"label":"Ann Bailey","detail":"Member in the 5% to 10% ownership band, since June 1995."},{"label":"Wheeler Moon","detail":"Chief manager, chief compliance officer in the 50% to 75% ownership band and a control person, since June 1995."},{"label":"Tracy Dobbs","detail":"Member in the 10% to 25% ownership band, since June 1995."},{"label":"James Haslam","detail":"Member in the 5% to 10% ownership band, since June 1995."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Tennessee","offices":1,"addresses":[{"street":"900 South Gay Street, Suite 2103","city":"Knoxville","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"865-546-1234","stateRegisteredReps":0,"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 pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":70},{"label":"U.S. government/agency bonds","percent":2},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":3},{"label":"Cash and cash equivalents","percent":15},{"label":"Other","percent":8,"detail":"Bank CDS"}],"privateFunds":1},"sources":{"adv1FilingDate":"1 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/107612/PDF/107612.pdf","brochureDate":"1 May 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043662","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 Moon Capital Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Moon Capital Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Moon Capital Management use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Moon Capital Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Moon Capital Management invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Moon Capital Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Moon Capital Management get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Moon Capital Management?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 1 May 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."}