BROOKS, MOORE & ASSOCIATES, INC.

RIASEC RegisteredEst. 1986
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 a privately owned corporate registered investment adviser that has been SEC-registered since 1986. The firm serves both individual and family clients as well as institutional clients, delivering portfolio management for individuals/small businesses and for businesses or institutions. Its fees combine a percentage-of-AUM component with fixed fees. The firm does not present itself as an ESG-focused manager, is not multi-state registered, and is not a capital allocator; alternative exposures are obtained through external third‑party managers rather than direct principal investments.

Assets & Accounts

Public Holdings

Investments & Alternatives

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Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 48%, Public Funds/Mutual Funds 30%, Cash & Cash Equivalents 10%, Investment Grade Corp Bonds 6%, US Government Bonds 4%, State & Local Bonds 2%48%
  • 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

  • RICHARD MOORE

    Managing DirectorCRD 1822214

  • JAY BROOKS

    Managing DirectorCRD 4343684

Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

FINTRX

Recent filings

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Awards

FINTRX

ETF holdings

1 of 25

Active vs passive

$50.1M in ETFs

Passive

62%

$30.9M

Active

38%

$19.2M

ETFProviderStyleCategoryValueShares% of portfolio
VANGUARD 500 INDEX FUND (VOO)VanguardPassiveLarge Blend$7.3M12,13314.47%
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Location

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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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth