Rooks Wealth Advisors, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$57,000,000
Clients
60
Advisors
2
of 2 employees
About
Rooks Wealth Advisors is a fee-only registered investment adviser that manages approximately $69 million for about 60 clients and serves individuals (including high-net-worth clients), trusts, corporations, and pension/401(k) plans. The firm offers discretionary investment management, financial planning (core planning included with investment management; standalone and advanced planning available), and retirement plan advisory services.
The firm develops portfolios based on each client’s goals, risk tolerance, time horizon and liquidity needs and generally exercises discretionary authority to implement and adjust portfolios. Its investable universe is broad and includes individual equities and bonds, mutual funds and ETFs (including leveraged and inverse ETFs), REITs, commodities, private equity, and the option for margin use, with ongoing monitoring and rebalancing.
Distinctive aspects include providing ERISA plan advisory services (commonly as a 3(21) advisor) while operating as a small, two-advisor firm and using a tiered planning model where enhanced ongoing planning may be charged as an additional asset-based fee or provided on an hourly/flat-fee basis. The firm disclosed a March 2026 consent order with the state securities regulator concerning pre-registration signing of client agreements and supervisory failures; the resolution included required continuing education and a monetary penalty.
Client services
Expertise
Fee options
Flat fees for standalone financial planning services and pension plan startup/onboarding fees (minimum $2,500).
$0 - $250,000: 1.25% $250,001 - $5,000,000: 1.0% $5,000,001+: 0.5%
$250 per hour for standalone financial planning services.
Fee-only: Fee-only registered investment adviser; does not receive commissions or compensation based on purchase or sale of any security.
Main office
412 Georgia Avenue, Suite, 236
Chattanooga TN 37403
Advisors at this office
2
Most active in
Georgia · Tennessee
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.
Forms ADV
Advisors at this firm
Bradley R
Series 65
Chattanooga, TN
Rooks Wealth Advisors, LLC
Bradley Rooks is a Series 65-licensed financial advisor with 14 years of industry experience. He is currently with Rooks Wealth Advisors, LLC, where he has worked since 2021, following prior experience at Campbell Rooks Wealth Management, LLC. Rooks Wealth Advisors is a fee-only registered investment adviser managing approximately $69 million for about 60 clients, including individuals, trusts, corporations, and pension/401(k) plans. The firm offers discretionary investment management, financial planning, and retirement plan advisory services, using a broad investable universe and a tiered planning model.
William W
Series 63, Series 65
Chattanooga, TN
Rooks Wealth Advisors, LLC
William White is a financial advisor at Rooks Wealth Advisors, LLC in Chattanooga, TN, holding Series 63 and Series 65 licenses with two years of industry experience. His prior roles include positions at Trinity Wealth Securities, Florida Financial Advisors, and non-financial work with DoorDash and Bellhop. Rooks Wealth Advisors is a fee-only registered investment adviser managing approximately $69 million for about 60 clients, including individuals, trusts, corporations, and pension/401(k) plans. The firm offers discretionary investment management and financial planning, tailoring portfolios to clients’ goals and risk tolerance across a broad investable universe.
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