THOROUGHBRED FINANCIAL SERVICES, LLC

HTTP://WWW.THOROUGHBREDFINANCIAL.COM BRENTWOOD, TN Broker-Dealer Investment Advisor How do I update this listing?

Also known as:

  • THOROUGHBRED FINANCIAL SERVICES LLC /BD

Thoroughbred Financial Services is based out of Brentwood. Thoroughbred Financial Services is a large advisory firm with 2484 clients and discretionary assets under management (AUM) of $1,148,774,138 (Form ADV from 2019-01-21). Their last reported 13F filing for Q1 2019 included $242,241,000 in managed 13F securities and a top 10 holdings concentration of 25.16%. Thoroughbred Financial Services's largest holding is Apple Inc with shares held of 50,152. Whalewisdom has at least 2 13F filings

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03/31/2019

13F Sector Allocation Over Time

03/31/2019

13F Activity

  • Market Value $242.241 Million
  • Prior Market Value $203.811 Million
  • New Purchases73 stocks
  • Additional Purchases94 stocks
  • Sold out of15 stocks
  • Reduced holdings in52 stocks
  • Top 10 Holdings % 25.16 %
  • Turnover % [1]:38.60%
  • Turnover Alt % [2]: 20.58 %
  • Time Held Top20:0.70 quarters
  • Time Held Top10:0.80 quarters
  • Time Held All:0.68 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-05-15

Performance for Q1 2019: 4.46%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

THOROUGHBRED FINANCIAL SERVICES, LLC
5110 MARYLAND WAY, SUITE 300
BRENTWOOD TN    37027-7508
Country: United States

Business Phone: 615-371-0001
Fax: 615-371-0184
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: TN
Number of employees: 32
Other Business Activities: broker-dealer,insurance broker or agent
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Commissions
Amount of client funds and securities:
Total Number of Clients: 2484
Amount of client funds and securities by related persons: 217,272
Total Number of clients from related persons: 2
Disclosures: 11.C (1),11.C (2),11.C (4),11.C (5)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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THOROUGHBRED FINANCIAL SERVICES, LLC

ownership team - last updated 2019-01-21
Name Title Start Date Direct/Indirect % Ownership
PARKER, THOMAS JENKINS PRESIDENT, CEO 06/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
DIVERSIFIED PARTNERS INC PRESIDENT, SHAREHOLDER direct 1993-05-01
THOROUGHBRED FINANCIAL SERVICES, LLC PRESIDENT, CEO direct 1999-06-01
DIVERSIFIED PARTNERS INC PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1993-05-01 2004-10-05
DIVERSIFIED PARTNERS INC PRESIDENT direct 1993-05-01 2016-03-30
HERNDON, JACK CLARK JR EXECUTIVE V.P. SECURITIES 06/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOROUGHBRED FINANCIAL SERVICES, LLC EXECUTIVE V.P. SECURITIES direct 1999-06-01
THOROUGHBRED FINANCIAL SERVICES, LLC V.P. SECURITIES DIV/MEMBER - CHIEF COMPLIANCE OFFICER direct 1999-06-01 2002-03-26
PARKER FAMILY TRUST MEMBER 06/01/1999 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
THOROUGHBRED FINANCIAL SERVICES, LLC MEMBER direct 1999-06-01
PARKER, SUSAN SWEENEY TRUSTEE OF PARKER FAMILY TRUST 06/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOROUGHBRED FINANCIAL SERVICES, LLC TRUSTEE OF PARKER FAMILY TRUST direct 1999-06-01
HARTLEY, LAWRENCE RANDALL MEMBER 06/01/1999 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
THOROUGHBRED FINANCIAL SERVICES, LLC MEMBER direct 1999-06-01
ATKINS, JOHN SEXTON MEMBER 06/01/1999 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
THOROUGHBRED FINANCIAL SERVICES, LLC MEMBER direct 1999-06-01
WEDDINGTON, WILLIAM ALLEN MEMBER 06/01/1999 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
THOROUGHBRED FINANCIAL SERVICES, LLC MEMBER direct 1999-06-01
STEELE, BARRY GENE MEMBER 06/01/1999 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
THOROUGHBRED FINANCIAL SERVICES, LLC MEMBER direct 1999-06-01
PARKER, PATRICK GIBBONS MEMBER 06/01/1999 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
THOROUGHBRED FINANCIAL SERVICES, LLC MEMBER direct 1999-06-01
KELLY, DANIEL JAMES V.P. OPERATIONS - CCO, CFO 06/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOROUGHBRED FINANCIAL SERVICES, LLC V.P. OPERATIONS - CHIEF COMPLIANCE OFFICER, FINANCIAL OPERATIONS PRINCIPAL direct 1999-06-01
THOROUGHBRED FINANCIAL SERVICES, LLC V.P. OPERATIONS direct 1999-06-01 2004-08-19
THOROUGHBRED FINANCIAL SERVICES, LLC V.P. OPERATIONS - CCO direct 1999-06-01 2006-03-27
THOROUGHBRED FINANCIAL SERVICES, LLC V.P. OPERATIONS - CHIEF COMPLIANCE OFFICER direct 1999-06-01 2009-02-06

THOROUGHBRED FINANCIAL SERVICES, LLC

ownership team - last updated 2017-03-31
Name Title Start Date Direct/Indirect % Ownership
PARKER, THOMAS JENKINS PRESIDENT, CEO 06/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
DIVERSIFIED PARTNERS INC PRESIDENT, SHAREHOLDER direct 1993-05-01
THOROUGHBRED FINANCIAL SERVICES, LLC PRESIDENT, CEO direct 1999-06-01
DIVERSIFIED PARTNERS INC PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1993-05-01 2004-10-05
DIVERSIFIED PARTNERS INC PRESIDENT direct 1993-05-01 2016-03-30
HERNDON, JACK CLARK JR EXECUTIVE V.P. SECURITIES 06/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOROUGHBRED FINANCIAL SERVICES, LLC EXECUTIVE V.P. SECURITIES direct 1999-06-01
THOROUGHBRED FINANCIAL SERVICES, LLC V.P. SECURITIES DIV/MEMBER - CHIEF COMPLIANCE OFFICER direct 1999-06-01 2002-03-26
PARKER FAMILY TRUST MEMBER 06/01/1999 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
THOROUGHBRED FINANCIAL SERVICES, LLC MEMBER direct 1999-06-01
PARKER, SUSAN SWEENEY TRUSTEE OF PARKER FAMILY TRUST 06/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOROUGHBRED FINANCIAL SERVICES, LLC TRUSTEE OF PARKER FAMILY TRUST direct 1999-06-01
HARTLEY, LAWRENCE RANDALL MEMBER 06/01/1999 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
THOROUGHBRED FINANCIAL SERVICES, LLC MEMBER direct 1999-06-01
ATKINS, JOHN SEXTON MEMBER 06/01/1999 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
THOROUGHBRED FINANCIAL SERVICES, LLC MEMBER direct 1999-06-01
WEDDINGTON, WILLIAM ALLEN MEMBER 06/01/1999 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
THOROUGHBRED FINANCIAL SERVICES, LLC MEMBER direct 1999-06-01
STEELE, BARRY GENE MEMBER 06/01/1999 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
THOROUGHBRED FINANCIAL SERVICES, LLC MEMBER direct 1999-06-01
PARKER, PATRICK GIBBONS MEMBER 06/01/1999 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
THOROUGHBRED FINANCIAL SERVICES, LLC MEMBER direct 1999-06-01
KELLY, DANIEL JAMES V.P. OPERATIONS - CHIEF COMPLIANCE OFFICER, FINANCIAL OPERATIONS PRINCIPAL 06/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOROUGHBRED FINANCIAL SERVICES, LLC V.P. OPERATIONS - CHIEF COMPLIANCE OFFICER, FINANCIAL OPERATIONS PRINCIPAL direct 1999-06-01
THOROUGHBRED FINANCIAL SERVICES, LLC V.P. OPERATIONS direct 1999-06-01 2004-08-19
THOROUGHBRED FINANCIAL SERVICES, LLC V.P. OPERATIONS - CCO direct 1999-06-01 2006-03-27
THOROUGHBRED FINANCIAL SERVICES, LLC V.P. OPERATIONS - CHIEF COMPLIANCE OFFICER direct 1999-06-01 2009-02-06

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