{ "crd_number": 151128, "slug": "garth-and-brown-investment-management-llc-chattanooga-tn-151128", "primary_business_name": "GARTH & BROWN INVESTMENT MANAGEMENT, LLC", "legal_name": "GARTH & BROWN INVESTMENT MANAGEMENT, LLC", "dbas": [], "city": "Chattanooga", "state": "TN", "country": "United States", "cbsa_code": "16860", "metro": { "cbsa_code": "16860", "common_name": "Chattanooga", "msa_name": "Chattanooga, TN-GA", "path": "/advisors/tn/chattanooga" }, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2009-08-18", "years_registered": 17, "period": "2026-10-01", "filing_date": "2026-07-24", "carried_forward": false, "raum_total": 15310143.0, "raum_discretionary": 1308180.0, "raum_non_discretionary": 14001963.0, "raum_band": "under_25m", "raum_band_label": "Under $25 million", "total_employees": 2, "advisory_employees": 2, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "other": { "raum": 0.0, "count": 0 }, "charitable": { "raum": 0.0, "count": 0 }, "individuals": { "raum": 1308180.0, "count": null, "fewer_than_5": true }, "banking_thrift": { "raum": 0.0, "count": 0 }, "state_municipal": { "raum": 0.0, "count": 0 }, "insurance_companies": { "raum": 0.0, "count": 0 }, "investment_companies": { "raum": 0.0, "count": 0 }, "pension_profit_sharing": { "raum": 14001963.0, "count": null, "fewer_than_5": true }, "other_investment_advisers": { "raum": 0.0, "count": 0 }, "high_net_worth_individuals": { "raum": 0.0, "count": 0 }, "pooled_investment_vehicles": { "raum": 0.0, "count": 0 }, "corporations_other_businesses": { "raum": 0.0, "count": 0 }, "business_development_companies": { "raum": 0.0, "count": 0 }, "sovereign_wealth_foreign_official": { "raum": 0.0, "count": 0 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "pension_consulting", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": true, "disclosure_yes_count": 2, "states_registered": [ "GA", "TN" ], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/151128", "disclosure_items": [ { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" }, { "item": "11.E(4)", "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?" } ], "city_as_filed": "CHATTANOOGA", "url": "https://advisorcensus.com/firm/garth-and-brown-investment-management-llc-chattanooga-tn-151128", "display_name": "Garth & Brown Investment Management, LLC", "summary": "Garth & Brown Investment Management, LLC is a state-registered investment advisory firm in Chattanooga, TN, registered since 2009, reporting under $25 million in regulatory assets under management in its Form ADV filing dated July 24, 2026.", "citation": "AdvisorCensus. Garth & Brown Investment Management, LLC (CRD 151128): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Pension consulting services", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Garth & Brown Investment Management, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Garth & Brown Investment Management, LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Garth & Brown Investment Management, LLC located?", "a": "Garth & Brown Investment Management, LLC's principal office is in Chattanooga, TN, according to its Form ADV." }, { "q": "Is Garth & Brown Investment Management, LLC registered with the SEC or a state?", "a": "Garth & Brown Investment Management, LLC is a state-registered investment advisory firm, registered since 2009. Status as filed: APPROVED. CRD 151128." }, { "q": "How much does Garth & Brown Investment Management, LLC manage?", "a": "Garth & Brown Investment Management, LLC reports $15,310,143 in regulatory assets under management in its Form ADV filing dated July 24, 2026 (9% discretionary)." }, { "q": "Does Garth & Brown Investment Management, LLC report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation) and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/151128" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/garth-and-brown-investment-management-llc-chattanooga-tn-151128.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": null, "fewer_than_5": true, "raum": 1308180.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "business_development_companies", "label": "Business development companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": null, "fewer_than_5": true, "raum": 14001963.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "other", "label": "Other", "count": 0, "fewer_than_5": false, "raum": 0.0 } ], "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/151128", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }