SEC-registered independent wealth management RIA
Brooks, Moore & Associates, Inc.
As of its Form ADV filed March 29, 2026, Brooks, Moore & Associates, Inc., an SEC-registered independent wealth management RIA in Chattanooga, Tennessee, reported $348.9 million in regulatory assets under management across 348 accounts, ranking #71 among independent RIAs in Tennessee by assets.
Registration
- Main office
- Chattanooga, TN
- Registration
- SEC-registered, Approved
- CRD number
- 105716
- SEC file number
- 801-26708
- Registered since
- April 10, 1986
- Latest Form ADV filing
- March 29, 2026
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $348.9 million
- Discretionary
- $342.4 million (98.2%)
- Non-discretionary
- $6.4 million
- Accounts
- 348 (346 discretionary)
- Clients
- 177, approximate as reported
- Employees
- 5
- Advisory staff
- 3 performing investment advisory functions
- Average account
- $1.0 million
- Asset growth, 1 year
- 11.0% (from $314.3 million a year earlier)
- Asset growth, 3-year annual rate
- 9.2% (from $268.1 million three years earlier)
- Asset growth, 5-year annual rate
- 5.8% (from $263.8 million five years earlier)
- Client growth, 1 year
- 0.6% (from 176)
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among independent wealth management RIAs.
| Ranking | Nationally | In Tennessee | Value |
|---|---|---|---|
| Largest independent RIAs by assets under management | #3,557 | #71 | $348.9 million |
| Fastest-growing independent RIAs over one year | #4,842 | #89 | 11.0%from $314.3 million |
| Fastest-growing independent RIAs over three years | #4,413 | #88 | 9.2%from $268.1 million |
| Fastest-growing independent RIAs over five years | #3,667 | #83 | 5.8%from $263.8 million |
| Independent RIAs with the biggest asset gains over one year | #4,344 | #90 | $34.5 million |
| Independent RIAs with the most clients | #6,116 | #132 | 177 |
| Independent RIAs with the fastest client growth over one year | #3,966 | #84 | 0.6%from 176 |
| Independent RIAs with the most accounts | #6,307 | #135 | 348 |
| Independent RIAs with the most advisory staff | #4,542 | #94 | 3 |
| Independent RIAs with the most high net worth clients | #3,286 | #67 | 95 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $147.0 million |
| October 3, 2011 | $157.3 million |
| October 1, 2012 | $176.7 million |
| October 1, 2013 | $181.4 million |
| October 1, 2014 | $197.9 million |
| October 1, 2015 | $212.7 million |
| October 3, 2016 | $193.6 million |
| October 2, 2017 | $212.4 million |
| October 1, 2018 | $218.5 million |
| October 1, 2019 | $208.1 million |
| October 1, 2020 | $250.6 million |
| October 4, 2021 | $263.8 million |
| October 3, 2022 | $296.4 million |
| October 5, 2023 | $268.1 million |
| October 1, 2024 | $285.5 million |
| September 2, 2025 | $314.3 million |
| October 2, 2026 | $348.9 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 95 clients | $282.3 million | |
| Corporations or other businesses 12 clients | $35.0 million | |
| Individuals (other than high net worth) 70 clients | $24.2 million | |
| Charitable organizations fewer than 5 clients | $7.3 million |
How the firm is paid
- A percentage of assets under management
- Fixed fees
Advisory services
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
None reported.
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 3
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 3
3 of the firm's 3 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Tennessee
| Firm | City | RAUM |
|---|---|---|
| Ridgepath Capital Management LLC | Knoxville | $358.9 million |
| Innovative Advisory Partners, LLC | Hixson | $352.1 million |
| Caldwell Advisors, LLC | Brentwood | $351.4 million |
| Leconte Wealth Management, LLC | Maryville | $346.8 million |
| William Howard & Co. Financial Advisors, Inc. | Memphis | $342.1 million |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Brooks, Moore & Associates, Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.brooksmoore.net
- Independent RIAs in Tennessee
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.