Brooks, Moore & Associates, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$306,547,738
Clients
165
Advisors
3
of 5 employees
About
Brooks, Moore & Associates serves individual and high‑net‑worth clients as well as retirement plans, trusts, estates, charitable organizations and corporate accounts, offering fee‑based, discretionary portfolio management and customized investment advice across a wide range of securities including equities, fixed income, mutual funds, options and interests in real estate and oil & gas partnerships. The firm manages assets on both a discretionary and non‑discretionary basis and generally requires a $250,000 minimum account (waivable in some cases).
The firm implements tailored asset allocation and suitability assessments, collecting risk‑profile questionnaires and recommending strategies that include asset allocation, dollar‑cost averaging, technical analysis, and both long‑ and short‑term purchases; it also emphasizes ongoing monitoring with most accounts reviewed weekly and trades reviewed daily. Brooks, Moore & Associates asks clients to consult tax professionals about potential tax consequences and documents client‑imposed investment restrictions in writing.
What distinguishes the firm among peers is its scale and operational practices: it manages roughly $349 million for about 165 clients with two advisory principals, implying a relatively high AUM per advisor and per client relationship. The firm also sets commission rates for controlled transactions (excluding one custodian), receives research under soft‑dollar arrangements, handles fee debiting through client custodians, offers proxy‑voting services, and maintains written policies to block personal trades that could conflict with client transactions.
Client services
Expertise
Fee options
Negotiable fixed fees lower than stated fee schedule may be offered
$0 - $500,000: 1.00% $500,000 - $3,000,000: 0.75% $3,000,000+: 0.50%
Account minimum: $250,000
Main office
3905 Saint Elmo Ave.
Chattanooga TN 37409
Advisors at this office
3
Most active in
Alabama · Georgia · Tennessee
Also doing business as
Brooks Montague & Associates Inc · Brooks, Moore & Associates, Inc.
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Jay B
Chattanooga, TN
Brooks, Moore & Associates, Inc.
Jay Brooks is a financial advisor with Brooks, Moore & Associates, Inc. in Chattanooga, TN, holding 21 years of industry experience. He has been with Brooks, Montague & Associates Inc. since 1986. Brooks, Moore & Associates primarily serves individual and high-net-worth clients, as well as pension and profit sharing plans, trusts, estates, charities, and corporations. The firm manages approximately $314.3 million across about 164 client accounts, offering fee-based, discretionary portfolio management and customized investment advice using a range of strategies tailored to client risk profiles and objectives.
Jay B
Series 65
Chattanooga, TN
Brooks, Moore & Associates, Inc.
Jay Brooks Jr. is a financial advisor with Brooks, Moore & Associates, Inc. in Chattanooga, TN, holding a Series 65 designation and eight years of industry experience. He previously worked at Woodlands Enterprises, Inc. from 2016 to 2018 before joining his current firm. Brooks, Moore & Associates serves individual and high-net-worth clients, retirement plans, trusts, estates, charitable organizations, and corporate accounts. The firm offers fee-based, discretionary portfolio management and customized investment advice across a broad range of securities with an emphasis on tailored asset allocation, ongoing monitoring, and documented investment restrictions.
Richard M
Series 63
Chattanooga, TN
Brooks, Moore & Associates, Inc.
Richard Moore is a financial advisor at Brooks, Moore & Associates, Inc. with 21 years of industry experience. He holds the Series 63 designation and has been with Brooks, Montague & Associates Inc. since 1995. Brooks, Moore & Associates is a registered investment adviser serving individual and high-net-worth clients, as well as pension and profit sharing plans, trusts, estates, charities, and corporations. The firm manages approximately $314 million across about 164 accounts and offers fee-based, discretionary portfolio management with customized investment advice tailored to clients’ risk profiles and objectives.
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