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JOHN MOORE & ASSOCIATES INC
CRD 109791File 801-55123
APPROVED
Retail clients
Custody
Filing as of Apr 1, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.03B
Above cohort median (national)
Discretionary AUM
$828.8M
Non-discretionary $199.9M
Clients
729
2,683 accounts
Employees
14
Top 10% of cohort in NM
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- DRO
- Registration date
- Jan 9, 1998
- Principal office
- 8220 SAN PEDRO DR NE, SUITE 310, ALBUQUERQUE, NM, 87113
- Phone
- 505-881-5100
- Website
- HTTP://JOHNMOORE.COM/
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.03B
- Discretionary AUM
- $828.8M
- Non-discretionary AUM
- $199.9M
- Discretionary accounts
- 2,323
- Non-discretionary accounts
- 360
- Total accounts
- 2,683
- AUM per client
- $1.4M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 5 | $13.9M |
| Charitable organizations | 8 | $2.7M |
| High net worth individuals | 226 | $843.8M |
| Pension and profit sharing plans | 2 | $5.8M |
| Individuals (other than high net worth individuals) | 488 | $162.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- Yes
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Custody | No | Yes | |
| May 1, 2026 | Employees | 13 | 14 | increased by1 |
| May 1, 2026 | Clients | 731 | 729 | decreased by2 |
| May 1, 2026 | AUM | $970,185,554 | $1,028,769,091 | increased by$58,583,537 |
| May 1, 2026 | Accounts | 2,723 | 2,683 | decreased by40 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 12 | 13 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Custody | Yes | No | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 634 | 731 | increased by97 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $784,705,786 | $970,185,554 | increased by$185,479,768 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 634 | 2,723 | increased by2,089 |
| Apr 1, 2022 | Employees | 9 | 12 | increased by3 |
| Apr 1, 2022 | Custody | No | Yes | |
| Apr 1, 2022 | Clients | 608 | 634 | increased by26 |
| Apr 1, 2022 | AUM | $652,637,261 | $784,705,786 | increased by$132,068,525 |
| Apr 1, 2022 | Accounts | 1,942 | 634 | decreased by1,308 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “JOHN MOORE” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“JOHN MOORE” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.