Brooks, Moore & Associates, Inc.
- Regulatory AUM
- $349M
- Discretionary
- $342M
- Clients
- 177
- Avg AUM / client
- $2.0M
- Accounts
- 348
- Employees
- 5
AUM over time
Annual snapshots from Form ADV filings · as of Mar 29, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 70 | $24.2M | 6.94% |
| High net worth individuals | 95 | $282M | 80.9% |
| Charitable organizations | Fewer than 5 clients | $7.3M | 2.09% |
| Corporations and other businesses | 12 | $35.0M | 10.0% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Jay William Brooks | Managing Director | Mar 1986 (40y) | 25% – 50% | |
| Richard Logan Moore | Managing Director | Aug 1995 (31y) | 50% – 75% | |
| Jay William Brooks | Chief Compliance Officer, Vp, Portfolio Manager | Jun 2018 (8y) | 5% – 10% |
Undisclosed: 0% – 20% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/29/2026 | 954 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $202M (58% of AUM) Mar 2026
- Regions Bank $68.9M (20% of AUM) Mar 2026
- First Horizon Bank $61.5M (18% of AUM) Mar 2026
- First Tennessee Bank National Association $56.6M (23% of AUM) Jun 2020
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 29, 2026.
View current Form ADV (SEC/IAPD) ↗