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 Q4 2018 included $203,811,000 in managed 13F securities and a top 10 holdings concentration of 28.93%. Thoroughbred Financial Services's largest holding is Shares Long-Term Corporate Bond ETF with shares held of 151,378. Whalewisdom has at least 1 13F filings

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12/31/2018

Top Sells

  • Name% Change

12/31/2018

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-02-14

Performance for Q4 2018: 1.91%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 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.

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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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