Brooks, Moore & Associates, Inc.

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.