WILEY BROS.-AINTREE CAPITAL, LLC

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Wiley Bros.-aintree Capital is based out of Nashville. Wiley Bros.-aintree Capital is a large advisory firm with 677 clients and discretionary assets under management (AUM) of $267,049,935 (Form ADV from 2020-06-22). Their last reported 13F filing for Q2 2020 included $82,789,000 in managed 13F securities and a top 10 holdings concentration of 35.36%. Wiley Bros.-aintree Capital's largest holding is Apple Inc with shares held of 15,798. Whalewisdom has at least 8 13F filings

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06/30/2020

13F Activity

  • Market Value $82.789 Million
  • Prior Market Value $64.264 Million
  • New Purchases27 stocks
  • Additional Purchases33 stocks
  • Sold out of43 stocks
  • Reduced holdings in47 stocks
  • Top 10 Holdings % 35.36 %
  • Turnover % [1]:54.69%
  • Turnover Alt % [2]: 20.76 %
  • Time Held Top20:3.05 quarters
  • Time Held Top10:2.30 quarters
  • Time Held All:4.05 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.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 25.64%
Performance Last 4 Quarters: -20.13%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

WILEY BROS.-AINTREE CAPITAL, LLC
40 BURTON HILLS BLVD SUITE 350
NASHVILLE TN    37215
Country: United States

Business Phone: 615-255-6431
Fax: 615-782-4111
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: TN
Number of employees: 59
Other Business Activities: broker-dealer,insurance broker or agent,registered municipal advisor
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Subscription fees,Fixed fees,Commissions,Performance-based fees,TRANSACTION FEE, 12B-1
Amount of client funds and securities:
Total Number of Clients: 677
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.C (2),11.C (3),11.C (4),11.C (5),11.D (1),11.D (2),11.D (3),11.D (4),11.D (5),11.E (2)
Data above was derived from SEC filings.

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WILEY BROS.-AINTREE CAPITAL, LLC

ownership team - last updated 2020-06-22
Name Title Start Date Direct/Indirect % Ownership
WILEY, DAVID WARREN JR CHAIRMAN 05/01/1996 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC CHAIRMAN direct 1996-05-01
WILEY BROS.-AINTREE CAPITAL, LLC SHRHLDR,CHMN,PRES. indirect 1996-05-01
WILEY III, DAVID WARREN III PRESIDENT, CEO 05/01/1996 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC PRESIDENT, CEO direct 1996-05-01
HILLSBORO ADVISORS, LLC GENERAL PARTNER indirect 2007-04-01
HILLSBORO ADVISORS, LLC PRESIDENT/MANAGING MEMBER direct 2010-04-01
WILEY BROS.-AINTREE CAPITAL, LLC PRESIDENT direct 1996-05-01 2004-07-28
JAMES, LISA POWELL VICE-PRESIDENT,SEC/TREASURER 05/01/1996 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC VICE-PRESIDENT,SEC/TREASURER direct 1996-05-01
HILLSBORO ADVISORS, LLC VICE PRESIDENT direct 2010-04-01
WILEY BROS., INC LLC MEMBER 05/01/1996 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC LLC MEMBER direct 1996-05-01
COOK, BRIGITTE HADEN WILEY CHIEF COMPLIANCE OFFICER, BROKERAGE ACTIVITIES 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC CHIEF COMPLIANCE OFFICER, BROKERAGE ACTIVITIES direct 2017-01-01
STEVENS, ALYSON MENCIO CHIEF COMPLIANCE OFFICER - ADVISORY BUSINESS 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC CHIEF COMPLIANCE OFFICER - ADVISORY BUSINESS direct 2017-05-01
WILEY, DAVID WARREN JR SHRHLDR,CHMN,PRES. WILEY BROS., INC. 05/01/1996 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC CHAIRMAN direct 1996-05-01
WILEY BROS.-AINTREE CAPITAL, LLC SHRHLDR,CHMN,PRES. indirect 1996-05-01

WILEY BROS.-AINTREE CAPITAL, LLC

ownership team - last updated 2020-03-30
Name Title Start Date Direct/Indirect % Ownership

WILEY BROS.-AINTREE CAPITAL, LLC

ownership team - last updated 2019-12-10
Name Title Start Date Direct/Indirect % Ownership
WILEY, DAVID WARREN JR CHAIRMAN 05/01/1996 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC CHAIRMAN direct 1996-05-01
WILEY BROS.-AINTREE CAPITAL, LLC SHRHLDR,CHMN,PRES. indirect 1996-05-01
WILEY III, DAVID WARREN III PRESIDENT, CEO 05/01/1996 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC PRESIDENT, CEO direct 1996-05-01
HILLSBORO ADVISORS, LLC GENERAL PARTNER indirect 2007-04-01
HILLSBORO ADVISORS, LLC PRESIDENT/MANAGING MEMBER direct 2010-04-01
WILEY BROS.-AINTREE CAPITAL, LLC PRESIDENT direct 1996-05-01 2004-07-28
JAMES, LISA POWELL VICE-PRESIDENT,SEC/TREASURER 05/01/1996 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC VICE-PRESIDENT,SEC/TREASURER direct 1996-05-01
HILLSBORO ADVISORS, LLC VICE PRESIDENT direct 2010-04-01
WILEY BROS., INC LLC MEMBER 05/01/1996 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC LLC MEMBER direct 1996-05-01
COOK, BRIGITTE HADEN WILEY CHIEF COMPLIANCE OFFICER, BROKERAGE ACTIVITIES 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC CHIEF COMPLIANCE OFFICER, BROKERAGE ACTIVITIES direct 2017-01-01
STEVENS, ALYSON MENCIO CHIEF COMPLIANCE OFFICER - ADVISORY BUSINESS 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC CHIEF COMPLIANCE OFFICER - ADVISORY BUSINESS direct 2017-05-01
WILEY, DAVID WARREN JR SHRHLDR,CHMN,PRES. WILEY BROS., INC. 05/01/1996 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC CHAIRMAN direct 1996-05-01
WILEY BROS.-AINTREE CAPITAL, LLC SHRHLDR,CHMN,PRES. indirect 1996-05-01

WILEY BROS.-AINTREE CAPITAL, LLC

ownership team - last updated 2019-06-10
Name Title Start Date Direct/Indirect % Ownership
WILEY, DAVID WARREN JR CHAIRMAN 05/01/1996 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC CHAIRMAN direct 1996-05-01
WILEY BROS.-AINTREE CAPITAL, LLC SHRHLDR,CHMN,PRES. indirect 1996-05-01
WILEY III, DAVID WARREN III PRESIDENT, CEO 05/01/1996 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC PRESIDENT, CEO direct 1996-05-01
HILLSBORO ADVISORS, LLC GENERAL PARTNER indirect 2007-04-01
HILLSBORO ADVISORS, LLC PRESIDENT/MANAGING MEMBER direct 2010-04-01
WILEY BROS.-AINTREE CAPITAL, LLC PRESIDENT direct 1996-05-01 2004-07-28
JAMES, LISA POWELL VICE-PRESIDENT,SEC/TREASURER 05/01/1996 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC VICE-PRESIDENT,SEC/TREASURER direct 1996-05-01
HILLSBORO ADVISORS, LLC VICE PRESIDENT direct 2010-04-01
WILEY BROS., INC LLC MEMBER 05/01/1996 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC LLC MEMBER direct 1996-05-01
COOK, BRIGITTE HADEN WILEY CHIEF COMPLIANCE OFFICER, BROKERAGE ACTIVITIES 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC CHIEF COMPLIANCE OFFICER, BROKERAGE ACTIVITIES direct 2017-01-01
STEVENS, ALYSON MENCIO CHIEF COMPLIANCE OFFICER - ADVISORY BUSINESS 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC CHIEF COMPLIANCE OFFICER - ADVISORY BUSINESS direct 2017-05-01
WILEY, DAVID WARREN JR SHRHLDR,CHMN,PRES. WILEY BROS., INC. 05/01/1996 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC CHAIRMAN direct 1996-05-01
WILEY BROS.-AINTREE CAPITAL, LLC SHRHLDR,CHMN,PRES. indirect 1996-05-01

WILEY BROS.-AINTREE CAPITAL, LLC

ownership team - last updated 2019-03-18
Name Title Start Date Direct/Indirect % Ownership
WILEY, DAVID WARREN JR CHAIRMAN 05/01/1996 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC CHAIRMAN direct 1996-05-01
WILEY BROS.-AINTREE CAPITAL, LLC SHRHLDR,CHMN,PRES. indirect 1996-05-01
WILEY III, DAVID WARREN III PRESIDENT, CEO 05/01/1996 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC PRESIDENT, CEO direct 1996-05-01
HILLSBORO ADVISORS, LLC GENERAL PARTNER indirect 2007-04-01
HILLSBORO ADVISORS, LLC PRESIDENT/MANAGING MEMBER direct 2010-04-01
WILEY BROS.-AINTREE CAPITAL, LLC PRESIDENT direct 1996-05-01 2004-07-28
PATTERSON, DAVID GRIFFIN JR VICE CHAIRMAN 05/01/1996 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC VICE CHAIRMAN direct 1996-05-01
HILLSBORO ADVISORS, LLC MEMBER direct 2010-04-01
JAMES, LISA POWELL VICE-PRESIDENT,SEC/TREASURER 05/01/1996 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC VICE-PRESIDENT,SEC/TREASURER direct 1996-05-01
HILLSBORO ADVISORS, LLC VICE PRESIDENT direct 2010-04-01
WILEY BROS., INC LLC MEMBER 05/01/1996 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC LLC MEMBER direct 1996-05-01
COOK, BRIGITTE HADEN WILEY CHIEF COMPLIANCE OFFICER, BROKERAGE ACTIVITIES 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC CHIEF COMPLIANCE OFFICER, BROKERAGE ACTIVITIES direct 2017-01-01
STEVENS, ALYSON MENCIO CHIEF COMPLIANCE OFFICER - ADVISORY BUSINESS 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC CHIEF COMPLIANCE OFFICER - ADVISORY BUSINESS direct 2017-05-01
WILEY, DAVID WARREN JR SHRHLDR,CHMN,PRES. WILEY BROS., INC. 05/01/1996 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC CHAIRMAN direct 1996-05-01
WILEY BROS.-AINTREE CAPITAL, LLC SHRHLDR,CHMN,PRES. indirect 1996-05-01

WILEY BROS.-AINTREE CAPITAL, LLC

ownership team - last updated 2018-05-04
Name Title Start Date Direct/Indirect % Ownership
WILEY, DAVID WARREN JR CHAIRMAN 05/01/1996 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC CHAIRMAN direct 1996-05-01
WILEY BROS.-AINTREE CAPITAL, LLC SHRHLDR,CHMN,PRES. indirect 1996-05-01
WILEY III, DAVID WARREN III PRESIDENT, CEO 05/01/1996 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC PRESIDENT, CEO direct 1996-05-01
HILLSBORO ADVISORS, LLC GENERAL PARTNER indirect 2007-04-01
HILLSBORO ADVISORS, LLC PRESIDENT/MANAGING MEMBER direct 2010-04-01
WILEY BROS.-AINTREE CAPITAL, LLC PRESIDENT direct 1996-05-01 2004-07-28
PATTERSON, DAVID GRIFFIN JR VICE CHAIRMAN 05/01/1996 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC VICE CHAIRMAN direct 1996-05-01
HILLSBORO ADVISORS, LLC MEMBER direct 2010-04-01
JAMES, LISA POWELL VICE-PRESIDENT,SEC/TREASURER 05/01/1996 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC VICE-PRESIDENT,SEC/TREASURER direct 1996-05-01
HILLSBORO ADVISORS, LLC VICE PRESIDENT direct 2010-04-01
WILEY BROS., INC LLC MEMBER 05/01/1996 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC LLC MEMBER direct 1996-05-01
COOK, BRIGITTE HADEN WILEY CHIEF COMPLIANCE OFFICER, BROKERAGE ACTIVITIES 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC CHIEF COMPLIANCE OFFICER, BROKERAGE ACTIVITIES direct 2017-01-01
STEVENS, ALYSON MENCIO CHIEF COMPLIANCE OFFICER - ADVISORY BUSINESS 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC CHIEF COMPLIANCE OFFICER - ADVISORY BUSINESS direct 2017-05-01
WILEY, DAVID WARREN JR SHRHLDR,CHMN,PRES. WILEY BROS., INC. 05/01/1996 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WILEY BROS.-AINTREE CAPITAL, LLC CHAIRMAN direct 1996-05-01
WILEY BROS.-AINTREE CAPITAL, LLC SHRHLDR,CHMN,PRES. indirect 1996-05-01

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