Data / Investment advisers / Tennessee / Brooks, Moore & Associates, Inc.
Brooks, Moore & Associates, Inc., Chattanooga, TN: $349 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Brooks, Moore & Associates, Inc. is an SEC registered investment adviser with its main office in Chattanooga, Tennessee and reports $349 million in regulatory assets under management in its Form ADV filed March 29, 2026. Its clients include high net worth individuals, corporations and other businesses and individuals. It is paid through a percentage of assets under management and fixed fees.
The request: Watch Brooks, Moore & Associates, Inc. (CRD number 105716): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 105716
- SEC file number
- 801-26708
- SEC status
- Approved, effective April 10, 1986
- Main office
- 3905 Saint Elmo Avenue, Chattanooga, TN 37409
- Phone
- (423) 756-8628
- Website
- brooksmoore.net
- Regulatory AUM
- $348,861,070 in the Form ADV filed March 29, 2026
- Discretionary AUM
- $342,428,106
- Non discretionary AUM
- $6,432,964
- Accounts
- 348
- Employees
- 5, of which 3 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, fixed fees
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 29, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 95 | $282.3 million |
| Corporations or other businesses | 12 | $35 million |
| Individuals (other than high net worth individuals) | 70 | $24.2 million |
| Charitable organizations | Fewer than 5 | $7.3 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $348.9 million | March 29, 2026 |
| December 1, 2025 | $314.3 million | March 28, 2025 |
Other advisers in Chattanooga
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Acumen Wealth Advisors, LLC | Chattanooga | $638.5 million | 1 | adviserinfo.sec.gov |
| Wealth Preservation Advisors, LLC | Chattanooga | $591.6 million | Not listed | adviserinfo.sec.gov |
| TSW II Capital Advisors, LLC | Chattanooga | $544.5 million | 9 | adviserinfo.sec.gov |
| Evergreen Advisors, LLC | Chattanooga | $522.8 million | Not listed | adviserinfo.sec.gov |
| Guardian Wealth Management, LLC | Chattanooga | $411.1 million | Not listed | adviserinfo.sec.gov |
| Apex Strategic Wealth, LLC | Chattanooga | $292.1 million | Not listed | adviserinfo.sec.gov |
| Anchor Health Capital, LLC | Chattanooga | $166 million | 9 | adviserinfo.sec.gov |
| Solas Bioventures Management, LLC | Chattanooga | $165 million | 12 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Chattanooga, TN
- Investment advisers in Tennessee
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving corporations and other businesses
- Brooks, Moore & Associates, Inc. on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.