{
  "crd_number": 316013,
  "slug": "rooks-wealth-advisors-llc-chattanooga-tn-316013",
  "primary_business_name": "ROOKS WEALTH ADVISORS, LLC",
  "legal_name": "ROOKS WEALTH ADVISORS, 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": "2021-09-23",
  "years_registered": 5,
  "period": "2026-10-01",
  "filing_date": "2026-09-16",
  "carried_forward": false,
  "raum_total": 69000000.0,
  "raum_discretionary": 57000000.0,
  "raum_non_discretionary": 12000000.0,
  "raum_band": "25m_100m",
  "raum_band_label": "$25 million to $100 million",
  "total_employees": 2,
  "advisory_employees": 2,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "individuals": {
      "raum": 13000000.0,
      "count": 41
    },
    "pension_profit_sharing": {
      "raum": 12000000.0,
      "count": 3,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 44000000.0,
      "count": 19
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "GA",
    "TN"
  ],
  "websites": [
    "https://rookswa.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/316013",
  "disclosure_items": [
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    }
  ],
  "city_as_filed": "CHATTANOOGA",
  "url": "https://advisorcensus.com/firm/rooks-wealth-advisors-llc-chattanooga-tn-316013",
  "display_name": "Rooks Wealth Advisors, LLC",
  "summary": "Rooks Wealth Advisors, LLC is a state-registered investment advisory firm in Chattanooga, TN, registered since 2021, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated September 16, 2026.",
  "citation": "AdvisorCensus. Rooks Wealth Advisors, LLC (CRD 316013): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Pension consulting services"
  ],
  "quick_answers": [
    {
      "q": "How is Rooks Wealth Advisors, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Rooks Wealth Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Rooks Wealth Advisors, LLC located?",
      "a": "Rooks Wealth Advisors, LLC's principal office is in Chattanooga, TN, according to its Form ADV."
    },
    {
      "q": "Is Rooks Wealth Advisors, LLC registered with the SEC or a state?",
      "a": "Rooks Wealth Advisors, LLC is a state-registered investment advisory firm, registered since 2021. Status as filed: APPROVED. CRD 316013."
    },
    {
      "q": "How much does Rooks Wealth Advisors, LLC manage?",
      "a": "Rooks Wealth Advisors, LLC reports $69,000,000 in regulatory assets under management in its Form ADV filing dated September 16, 2026 (83% discretionary)."
    },
    {
      "q": "What types of clients does Rooks Wealth Advisors, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (41); high net worth individuals (19); pension and profit sharing plans (but not the plan participants or government pension plans) (3)."
    },
    {
      "q": "Does Rooks Wealth Advisors, LLC report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). 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/316013"
    },
    {
      "q": "What changed in Rooks Wealth Advisors, LLC's recent Form ADV filings?",
      "a": "In the October 2026 filing data: Regulatory assets under management went from $60,000,000 to $69,000,000 (+15%)."
    }
  ],
  "filing_history": [],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Regulatory assets under management went from $60,000,000 to $69,000,000 (+15%)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/rooks-wealth-advisors-llc-chattanooga-tn-316013.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 41,
      "fewer_than_5": false,
      "raum": 13000000.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 19,
      "fewer_than_5": false,
      "raum": 44000000.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 3,
      "fewer_than_5": true,
      "raum": 12000000.0
    }
  ],
  "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/316013",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}