WILEY BROS.-AINTREE CAPITAL, LLC

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

Also known as:

  • WILEY BROS AINTREE CAPITAL LLC /BD
  • WILEY BROS AINTREE CAPITAL LLC

Wiley Bros.-aintree Capital is based out of Nashville. Wiley Bros.-aintree Capital is a large advisory firm with 286 clients and discretionary assets under management (AUM) of $144,850,134 (Form ADV from 2018-05-04). Their last reported 13F filing for Q4 2018 included $59,610,000 in managed 13F securities and a top 10 holdings concentration of 29.46%. Wiley Bros.-aintree Capital's largest holding is Apple Inc with shares held of 20,270. 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: Not ready yet
Performance Last 4 Quarters: 0.0%
Performance Metrics
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13F Filings Available:
  • 2018-12-31 - 13F-HR (Subscription required)

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: 286
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.

Active Schedule 13D and 13G events

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Form 4 - Non-derivative Insider Transactions Since 12/31/2018

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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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