Wealth manager, independent · Albuquerque, NM
John Moore & Associates Inc
SEC-registered investment adviser · CRD 109791 · SEC 801-55123
At a glance
John Moore & Associates Inc is an SEC-registered investment adviser based in Albuquerque, New Mexico, with $1.0B in regulatory assets under management as of its Form ADV filed April 1, 2026. It reports 714 individual clients, 226 of them high-net-worth, holding an average of about $1.4 million each, and 14 employees. That ranks it 1075th among the nation’s 5,657 independent wealth management RIAs and 1st of 13 in New Mexico. It reports Raymond James as the custodian for its clients’ separately managed accounts.
Main office 505-881-5100johnmoore.comAs filed on Form ADV
- Regulatory AUM
- $1.0B
- Rank among independent wealth managers
- #1,075 of 5,657
- Rank among all SEC RIAs
- #5,297 of 17,210
- Rank in New Mexico
- #1 of 13
- Individual clients
- 714
- High-net-worth clients
- 226
- Accounts
- 2,683
- Discretionary
- 81% of AUM
- Employees
- 14
- Advisory staff
- 9
- Offices
- 2
Owners and executives on its Form ADV
- Brian J. CochranTrustee
- Emily F. WilderTrustee
- Jami S. SchwalmChief Compliance Officer
Custody and brokerage
Broker-dealer
No broker-dealer ties
John Moore & Associates Inc reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 226 | $844M | 82% |
| Individuals | 488 | $163M | 16% |
| Corporations or other businesses | 5 | $14M | 1% |
| Pension and profit sharing plans | 2 | $6M | <1% |
| Charitable organizations | 8 | $3M | <1% |
Disciplinary disclosures
John Moore & Associates Inc reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗johnmoore.com ↗
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The full record on John Moore & Associates Inc
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 3,458 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does John Moore & Associates Inc manage?
John Moore & Associates Inc reports $1.0B in regulatory assets under management across 2,683 accounts, 81% of it on a discretionary basis, on its Form ADV filed April 1, 2026.
How many clients does John Moore & Associates Inc have?
It reports 714 individual clients: 226 high-net-worth individuals and 488 other individuals. Individuals account for about 98% of its regulatory assets.
Where is John Moore & Associates Inc headquartered?
Its main office is in Albuquerque, New Mexico. It reports 2 offices in total and 14 employees, 9 of whom perform investment advisory functions.
How does John Moore & Associates Inc charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does John Moore & Associates Inc use?
It reports Raymond James as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed April 1, 2026, it reports these amounts held: Raymond James ($349M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is John Moore & Associates Inc a hybrid RIA with a broker-dealer?
John Moore & Associates Inc reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is John Moore & Associates Inc a fiduciary?
As an SEC-registered investment adviser, John Moore & Associates Inc owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is John Moore & Associates Inc’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-04-01), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →