Thoroughbred Financial Services, LLC

Broker-DealerFINRA MemberEst. 1999
Total AUM
$4B
Discretionary
$3.6B
90% of AUM
Accounts
7,236
Employees
31
Advisory reps
44
Brokerage reps
31

Firm details

Headquarters
Brentwood, Tennessee
CRD number
47893
Registered since
August 13, 1999
Website
www.thoroughbredfinancial.com
Custodians
NATIONAL FINANCIAL SERVICES LLC
Fee structure
Percentage of AUM, Fixed Fees, Commissions
Client types
  • HNWI45.98%
  • Corporations / Businesses28.5%
  • Individuals22.09%
  • Pension & Profit Sharing Plans3.43%
Services
Financial PlanningPortfolio Management for IndividualsSelection of Other Advisers

Firm profile

FINTRX

Overview

Thoroughbred Financial Services, LLC is structured as an LLC and operates as an independent broker‑dealer that also provides insurance brokerage and advisory services. The firm has been SEC‑registered since 1999 and identifies itself as a capital allocator, working with both individual/family and institutional clients. Its advisory menu includes financial planning, portfolio management for individuals and small businesses, and selection of outside advisers. Compensation comes through a mix of AUM fees, fixed fees and commissions. The firm is not positioned as an active ESG investor and does not identify as a multi‑state or newly formed adviser. Thoroughbred also lists roles beyond client advisory — it serves as sponsor, general partner and managing member for pooled investment vehicles, indicating it both allocates to and originates private placements or pooled structures.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 39%, Non-Exchange Traded Equities 29%, Exchange Traded Equities 22%, Cash & Cash Equivalents 7%, US Government Bonds 1%, Derivatives 1%, Private Funds 1%39%
  • Public Funds/Mutual Funds39%
  • Non-Exchange Traded Equities29%
  • Exchange Traded Equities22%
  • Cash & Cash Equivalents7%
  • US Government Bonds1%

Owners & executives

1 of 1
  • Heather Hale

    Heather Hale

    Chief Compliance OfficerCRD 4470449

Contacts

3 of 43
  • James Reynolds

    James Reynolds

    Financial PlannerCRD 5791473

  • Jessica Barnes

    Jessica Barnes

    Administrative AssistantCRD 6647295

  • Daniel Carnine

    Financial RepresentativeCRD 5938067

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 372

Active vs passive

$1.1B in ETFs

Passive

73%

$793M

Active

22%

$296M

ETFProviderStyleCategoryValueShares% of portfolio
INVESCO NASDAQ 100 ETF (QQQM)InvescoPassiveLarge Growth$44M146,0784.04%
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Location

Primary office

Brentwood, TN

Williamson

Location

Brentwood, TN

Headquartered in Brentwood, TN, anchoring the Nashville-Davidson--Murfreesboro, TN metro in the South.

Metro area
Nashville-Davidson--Murfreesboro, TN
Region
South
County
Williamson
Address
5110 Maryland Way
Time zone
CT (UTC-6)
Office locations

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