DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
John Moore & Associates Inc
Latest filing Apr 1, 2026
First filing on the tape Mar 29, 2012 · 26 filings
SEC status approved since Jan 9, 1998
RAUM
$1.0B
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
98%
$1.0B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$206M
derived; firm RAUM over IAPD count
Employees
14
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.0B as of Apr 1, 2026
Mar 29, 2012$161M then
HNW client RAUM$844M as of Apr 1, 2026
Mar 30, 2018$223M then
State-registered IARs (5.B.3)5 as of Apr 1, 2026
Apr 3, 20131 then
Employees (5.A)14 as of Apr 1, 2026
Apr 3, 20137 then
Private funds: no history
RAUM +6.0% over the last fiscal year+12% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $206MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 143derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $383,440derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 81%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Financial planning clients
- 729reportedItem 5.H
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$844M82%
- Individuals$163M16%
- Corporations and businesses$13.9M1.4%
- Pension and profit-sharing plans$5.8M0.6%
- Charitable organizations$2.7M0.3%
- Individual clients
- 488reported
- HNW clients
- 226reported
- Pension plan clients
- 2reported
- Charitable clients
- 8reported
- Accounts
- 2,683reported
- Financial planning clients
- 729reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Brian James Cochran | Albuquerque, Nm | Jul 21, 2020 | 20 y | 2 |
| Cole Vance Leonida | Scottsdale, Az | Dec 23, 2021 | 16 y | 3 |
| John William OnestiCertified Financial Planner | Albuquerque, Nm | Mar 5, 2024 | 23 y | 3 |
| Gary Andrew FergusonCertified Financial Planner | Scottsdale, Az | Mar 27, 2024 | 13 y | 3 |
| Greg Alan Hartenbower | Scottsdale, Az | Mar 14, 2025 | 30 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Peter Thomas Lehrman to Raymond James Financial Services, Inc.Jun 8, 2004 · Other
Joined, latest
- Greg Alan Hartenbower from Raymond James Financial Services Advisors, IncMar 14, 2025 · Affiliated broker-dealer or bank to independent RIA
- Gary Andrew Ferguson from Simplicity WealthMar 27, 2024 · RIA to RIA
- John William Onesti from The Mutual Fund StoreMar 5, 2024 · Other
- Cole Vance Leonida from Capital Financial Group, Inc.Dec 23, 2021 · RIA to RIA
- Brian James Cochran from Raymond James Financial Services Advisors, IncJul 21, 2020 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- James Brian Cochran · Trusteecontrolsince 08/2015 · owns 50% to 75%
- Faye Emily Wilder · Trusteecontrolsince 08/2015 · owns 50% to 75%
- Sue Jami Schwalm · Chief Compliance Officersince 01/2019 · owns less than 5%
Entity owners
- Cochran Trust Uad 8/3/15 · Shareholderdirect · owns 75% or more
- Leonida Family Trust - June 4, 2020 · Shareholderdirect · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Albuquerque, Nm · principal | 5 | 0 | 0 | ||
| Scottsdale, Az | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Scottsdale, AZ2 employees
What changed
consecutive filings, newest first
- Accounts · 2,723 to 2,683Dec 16, 2025 to Apr 1, 2026
- Advisory employees · 7 to 9Dec 16, 2025 to Apr 1, 2026
- HNW clients · 209 to 226Dec 16, 2025 to Apr 1, 2026
- Individual clients · 506 to 488Dec 16, 2025 to Apr 1, 2026
- Pension plan clients · 3 to 2Dec 16, 2025 to Apr 1, 2026
- Employees · 13 to 14Dec 16, 2025 to Apr 1, 2026
- State-registered IARs · 4 to 5Dec 16, 2025 to Apr 1, 2026
- Discretionary RAUM · $745M to $829MDec 16, 2025 to Apr 1, 2026
- HNW RAUM · $790M to $844MDec 16, 2025 to Apr 1, 2026
- Individual RAUM · $153M to $163MDec 16, 2025 to Apr 1, 2026
- Non-discretionary RAUM · $225M to $200MDec 16, 2025 to Apr 1, 2026
- Pension RAUM · $5.2M to $5.8MDec 16, 2025 to Apr 1, 2026
- RAUM · $970M to $1.0BDec 16, 2025 to Apr 1, 2026
- Accounts · 2,212 to 2,723Mar 28, 2024 to Mar 31, 2025
- Charity clients · 5 to 8Mar 28, 2024 to Mar 31, 2025
- Corporate clients · 6 to 5Mar 28, 2024 to Mar 31, 2025
- HNW clients · 195 to 209Mar 28, 2024 to Mar 31, 2025
- Individual clients · 468 to 506Mar 28, 2024 to Mar 31, 2025
- Pension plan clients · 4 to 3Mar 28, 2024 to Mar 31, 2025
- Employees · 12 to 13Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · More than 500 to More than 500Mar 28, 2024 to Mar 31, 2025
- State-registered IARs · 2 to 4Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $578M to $745MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $596M to $790MMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $141M to $153MMar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $181M to $225MMar 28, 2024 to Mar 31, 2025
- Pension RAUM · $8.8M to $5.2MMar 28, 2024 to Mar 31, 2025
- RAUM · $758M to $970MMar 28, 2024 to Mar 31, 2025
- Accounts · 662 to 2,212Mar 31, 2023 to Mar 28, 2024
- Charity clients · 9 to 5Mar 31, 2023 to Mar 28, 2024
- Corporate clients · 7 to 6Mar 31, 2023 to Mar 28, 2024
- HNW clients · 163 to 195Mar 31, 2023 to Mar 28, 2024
- Individual clients · 478 to 468Mar 31, 2023 to Mar 28, 2024
- Pension plan clients · 5 to 4Mar 31, 2023 to Mar 28, 2024
- State-registered IARs · 0 to 2Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $574M to $578MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $549M to $596MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $150M to $141MMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $149M to $181MMar 31, 2023 to Mar 28, 2024
- Pension RAUM · $7.8M to $8.8MMar 31, 2023 to Mar 28, 2024
Signals
5 dated events
- John Moore & Associates Inc reported RAUM $970.2M, up 28% from $758.2M (2024-03-28 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- William John Moore (President/Trustee) no longer on Schedule A of John Moore & Associates Inc (listed 2021-07-20, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Kohler Connie Moore (Trustee) no longer on Schedule A of John Moore & Associates Inc (listed 2021-07-20, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- John Moore & Associates Inc reported RAUM $652.6M, up 51% from $431.3M (2021-01-21 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- John Moore & Associates Inc reported RAUM $431.3M, up 50% from $286.8M (2019-04-01 to 2020-04-16)Apr 16, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Cova Capital Partners · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Business email
- info@johnmoore.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 480-565-6100reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 505-881-5100reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 505-881-5289reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- JOHNMOORE.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 505-881-5100reportedpublic record, Form ADV, Apr 1, 2026
- Contact form
- johnmoore.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- johnmoore.com/our-peoplereportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $206Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026