Thoroughbred Financial Services, LLC
● SEC registered since 1999CRD 47893SEC# 801-56741Brentwood, TN
Reg. AUM
$4.04B
Employees
31
Accounts
7,236
Location
Brentwood, TN
Thoroughbred Financial Services, LLC assets under management
Thoroughbred Financial Services, LLC is an investment advisory firm registered with the SEC based in Brentwood, TN. The firm has been registered since 1999. It reports $4 billion in regulatory assets under management and employs 31 people.
Thoroughbred Financial Services, LLC owners & executives
9 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Daniel James Kelly Control | V.p. Operations - Cco, Cfo | Under 5% | 1999 |
| Jack Clark Jr Herndon Control | Executive V.p. Securities | Under 5% | 1999 |
| John Sexton Atkins | Member | 5-10% | 1999 |
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Join to unlock · $37/moFrequently asked questions
How much does Thoroughbred Financial Services, LLC manage?
Thoroughbred Financial Services, LLC reports $4 billion in regulatory assets under management on its Form ADV.
How many employees does Thoroughbred Financial Services, LLC have?
Thoroughbred Financial Services, LLC reports 31 employees.
Where is Thoroughbred Financial Services, LLC located?
Thoroughbred Financial Services, LLC is based in Brentwood, TN and has been SEC-registered since 1999.
Does Thoroughbred Financial Services, LLC disclose fund performance?
Thoroughbred Financial Services, LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 5110 Maryland Way, Suite 300, Brentwood, TN 37027-7508 |
| Phone | 615-371-0001 |
| Fax | 615-371-0184 |
| Office hours | 8:30-5:30 |
| SEC region | Atlanta Regional Office (ARO) |
| Discloses disciplinary history | Yes |
Regulatory AUM
$4.04B▲ 18%
Mar '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 15%
Larger than 85% of 16,271 advisers
EmployeesTop 17%
More than 83% of 16,825 advisers
Assets under management
$4.04Bregulatory AUM
Discretionary $3.62BNon-discretionary $421M