Brooks, Moore & Associates, Inc.

RIASEC Registered

Total AUM

$349M

Discretionary

$342M

98% of AUM

Avg account

$1M

Accounts

348

Employees

5

Advisory reps

3

Firm details

Headquarters: Chattanooga, Tennessee
CRD number: 105716
Registered since: April 10, 1986
Website: www.brooksmoore.net
Custodians: CHARLES SCHWAB & CO., INC., REGIONS BANK, FIRST HORIZON NATIONAL ASSOCIATION
Fee structure: Percentage of AUM, Fixed Fees
Client types: HNWI80.93%
Corporations / Businesses10.04%
Individuals6.94%
Charitable Organizations2.09%
Services: Portfolio Management for IndividualsPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Brooks, Moore & Associates, Inc. is an independent, privately owned registered investment adviser organized as a corporation. The firm has been registered with the SEC since 1986. It manages portfolios for individuals, families and institutions, providing discretionary portfolio management for individuals/small businesses and for business or institutional clients. Its fee arrangements include both a percentage-of-AUM schedule and fixed fees. The firm does not describe itself as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Exchange Traded Equities48%
Public Funds/Mutual Funds30%
Cash & Cash Equivalents10%
Investment Grade Corp Bonds6%
US Government Bonds4%

Owners & executives

1 of 1

Jay Brooks
Vice President, Chief Compliance OfficerCRD 6915191

Contacts

2 of 2

Jay Brooks
Managing DirectorCRD 4343684
Richard Moore
Managing DirectorCRD 1822214

Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 25

Active vs passive

$51.9M in ETFs

Passive

66%

$34.3M

Active

33%

$17.7M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
VANGUARD 500 INDEX FUND (VOO)	Vanguard	Passive	Large Blend	$8.6M	12,533	16.57%

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Primary office

Chattanooga, TN

Hamilton

Location

Chattanooga, TN

Headquartered in Chattanooga, TN, anchoring the Chattanooga-Cleveland-Dalton, TN-GA metro in the South.

Metro area: Chattanooga-Cleveland-Dalton, TN-GA
Region: South
County: Hamilton
Address: 3905 Saint Elmo Ave
Time zone: CT (UTC-6)
Office locations

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