Thoroughbred Financial Services, LLC

Broker-DealerFINRA Member

Total AUM

$4B

Discretionary

$3.6B

90% of AUM

Accounts

7,236

Employees

Advisory reps

Brokerage reps

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 a limited liability company that operates as an independent broker‑dealer and insurance broker while also providing advisory services. The firm is registered with the SEC (registration year 1999). Its client base spans individual and family households as well as institutional clients. Thoroughbred functions as a capital allocator and offers a mix of fee arrangements (percentage of AUM and fixed fees) alongside commission-based business. Advisory capabilities include financial planning, portfolio management for individuals and small businesses, and selection/oversight of other advisers. The firm also serves as a sponsor, general partner, or managing member of pooled investment vehicles. It does not position itself as an active ESG investor.