← Directory
THOROUGHBRED FINANCIAL SERVICES, LLC
CRD 47893File 801-56741
APPROVED
Retail clients
Disclosure events
Filing as of Mar 31, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$4.04B
Top 25% of cohort (national)
Discretionary AUM
$3.62B
Non-discretionary $421.0M
Clients
3,567
7,236 accounts
Employees
31
Top 10% of cohort in TN
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- ARO
- Registration date
- Aug 13, 1999
- Principal office
- 5110 MARYLAND WAY, SUITE 300, BRENTWOOD, TN, 37027-7508
- Phone
- 615-371-0001
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $4.04B
- Discretionary AUM
- $3.62B
- Non-discretionary AUM
- $421.0M
- Discretionary accounts
- 6,134
- Non-discretionary accounts
- 1,102
- Total accounts
- 7,236
- AUM per client
- $1.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 1,029 | $1.15B |
| High net worth individuals | 691 | $1.86B |
| Pension and profit sharing plans | 18 | $138.4M |
| Individuals (other than high net worth individuals) | 1,829 | $892.4M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Commissions
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11C1
- Q11C2
- Q11C4
- Q11C5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 34 | 31 | decreased by3 |
| Apr 1, 2026 | Clients | 3,400 | 3,567 | increased by167 |
| Apr 1, 2026 | AUM | $3,409,535,678 | $4,039,118,832 | increased by$629,583,154 |
| Apr 1, 2026 | Accounts | 6,789 | 7,236 | increased by447 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 33 | 34 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Custody | Yes | No | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 3,844 | 3,400 | decreased by444 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $2,926,834,220 | $3,409,535,678 | increased by$482,701,458 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 5,944 | 6,789 | increased by845 |
| Apr 1, 2022 | Clients | 3,712 | 3,844 | increased by132 |
| Apr 1, 2022 | AUM | $2,516,438,770 | $2,926,834,220 | increased by$410,395,450 |
| Apr 1, 2022 | Accounts | 5,593 | 5,944 | increased by351 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “THOROUGHBRED FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“THOROUGHBRED FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.