Wiley Bros. Aintree Capital, LLC (Nashville)

Name: Wiley Bros. Aintree Capital, LLC
Address: 40 Burton Hills Blvd., Nashville, TN, 37215
Telephone: 615-255-6431

Wiley Bros. Aintree Capital, LLC is a large advisory firm based in Nashville. It manages $195.21 million of regulatory assets for 352 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Arizona, Arkansas, and 28 other states.

Wiley Bros. Aintree Capital provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, publication of newsletters, educational seminars and workshops, and portfolio manager selection, furnish advice not involving securities, research report services, 1042 portfolio construction. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Wiley Bros. Aintree Capital: assets under management

The assets under management (AUM) of Wiley Bros. Aintree Capital, LLC is $195.21 million. The firm's AUM has grown by 306% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $128.97 million in discretionary accounts and $66.23 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $623.05 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $456.79 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 56% of the total AUM. The second-largest asset type is other assets, which make up 25% of the firm’s portfolio. Investments in cash and cash equivalents form 12% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Wiley Bros. Aintree Capital, LLC for their services and products based on a percentage of assets under management, hourly charges, subscription fees, fixed fees, commissions, and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients David Warren Jr Wiley serves?

The only and largest group of clients of David Warren Jr Wiley is individuals with 309 clients and $126.32 million of assets under management. Among the 10 most similar advisory firms, Wiley Bros. Aintree Capital has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $126.32 million for 309 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Wiley Bros. Aintree Capital doesn't advise any private funds.

Careers at Wiley Bros. Aintree Capital, LLC

The company employs 55 people that are either part- or full-time employees. 56 percent of the employees work as investment advisers or researchers. 31 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

David Warren Jr Wiley has been acting as President since 1 May 1996. Alyson Mencio Stevens joined the executive team most recently as the Chief Compliance Officer Advisory Business.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
David Warren Jr Wiley	Chairman	1 May 1996	Other	466938
David Warren Iii Wiley Iii	President, ceo	1 May 1996	25% - 50%	720094
David Griffin Jr Patterson	Vice chairman	1 May 1996	25% - 50%	357869
Lisa Powell James	Vice-president,sec/treasurer	1 May 1996	Other	1436648
Inc Wiley Bros.	Llc member	1 May 1996	25% - 50%	62-0429409
David Warren Iii Wiley	President	1 May 1996	Other	720094
David Griffin Patterson	Vice chairman	1 May 1996	Other	357869
Jerri Darlene Allaster	Compliance director	1 May 1996	Other	1373295
Vicki G Markham	Chief compliance officer, brokerage activities	1 Aug 2011	Other	1625626
Carri M Sanford	Chief compliance officer advisory business	1 Sep 2011	Other	2914126
Brigitte Haden Wiley Cook	Chief compliance officer, brokerage activities	1 Jan 2017	Other	5633507
Alyson Mencio Stevens	Chief compliance officer - advisory business	1 May 2017	Other	5451096

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
David Warren Wiley	Shrhldr,chmn,pres.	1 May 1996	50% - 75%	466938

Based in Nashville

The principal office where Wiley Bros. Aintree Capital, LLC performs its advisory services is located at 40 Burton Hills Blvd., Nashville, TN 37215, which is also the mailing address of the firm. An additional office of the firm is in Franklin, TN. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 615-255-6431 or by fax 615-782-4111. The normal business hours are 8:00-4:30 on Monday - Friday. You can find more information about the New York firm at wileybros.com.