0000107136-24-000001.txt : 20240319
0000107136-24-000001.hdr.sgml : 20240319
20240319153211
ACCESSION NUMBER: 0000107136-24-000001
CONFORMED SUBMISSION TYPE: MA-A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231231
FILED AS OF DATE: 20240213
DATE AS OF CHANGE: 20240319
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: &PARTNERS
CENTRAL INDEX KEY: 0000107136
ORGANIZATION NAME:
IRS NUMBER: 621627736
STATE OF INCORPORATION: TN
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: MA-A
SEC ACT: 1934 Act
SEC FILE NUMBER: 867-01682
FILM NUMBER: 24762737
BUSINESS ADDRESS:
STREET 1: 40 BURTON HILLS BLVD.
STREET 2: SUITE 350
CITY: NASHVILLE
STATE: TN
ZIP: 37215
BUSINESS PHONE: 615 252 6214
MAIL ADDRESS:
STREET 1: 40 BURTON HILLS BLVD.
STREET 2: SUITE 350
CITY: NASHVILLE
STATE: TN
ZIP: 37215
FORMER COMPANY:
FORMER CONFORMED NAME: WILEY BROS.-AINTREE CAPITAL, LLC
DATE OF NAME CHANGE: 20030130
FORMER COMPANY:
FORMER CONFORMED NAME: WILEY BROS AINTREE CAPITAL LLC /BD
DATE OF NAME CHANGE: 20000209
FORMER COMPANY:
FORMER CONFORMED NAME: WILEY BROS AINTREE CAPITAL LLC /BD
DATE OF NAME CHANGE: 20000101
MA-A
1
primary_doc.xml
MA-A
0000107136
XXXXXXXX
Kaley Idol
615-252-6214
kidol@wileybros.com
kidol@wileybros.com
12-31-2023
Y
&PARTNERS
3767
62-1627736
866-00684-00
867-01682
008-3774
3767
801-37145
3767
40 BURTON HILLS BLVD.
SUITE 350
NASHVILLE
TN
37215
615-255-6431
615-782-4111
N
www.andpartners.com
NewAdd
www.wileybros.com
Kaley
Porter
Idol
40 Burton Hills Blvd.
Suite 350
Nashville
TN
37215
615-252-6214
615-782-4111
kidol@wileybros.com
Kaley
Porter
Idol
40 Burton Hills Blvd.
Suite 350
Nashville
TN
37215
615-252-6214
615-782-4111
kidol@wileybros.com
Add
Richard and Richards
1741 Elm Hill Pike
Nashville
TN
37210
615-242-9600
Paper records stored at secured offsite facility
December
TN
05-01-1996
N
140
1
1
1
0
0
0
Municipal Entities
Non-profit organizations
0
0
0
Not Applicable
Contingent Fees
Not Applicable
Advice Insurance Of MS
Advice Investment Of Proceeds MS
Advice ME Investments
Advice ME Other Investments
Advice Use Of MD
Advice On Selection
Y
Y
Y
Y
Y
N
Investment Adviser
1
Delete
Investment Adviser
Hillsboro Advisors
Hillsboro Advisors
N
Y
N
N
Y
N
N
Y
Y
Y
Y
N
N
Y
Y
N
N
Please note that we have a DRP item that is tagged different on Finra and SEC filings but same incident. ID #44526420 listed on Edgar system is an amendment for Finra occurrence 1898058
N
N
N
N
N
Y
Y
Y
Y
Y
Y
Y
Y
Y
N
Y
N
N
N
N
N
N
N
N
N
N
AMPERSAND PARTNERS, LLC
N
92-3085231
OWNER
08-29-2023
E
N
David
W
Wiley III
Co-President
05-01-1996
C
Y
720094
Alyson
Mencio
Stevens
Chief Compliance Officer-Advisory Business
05-08-2017
NA
N
5451096
Kaley
Porter
Idol
Chief Compliance Officer Brokerage Activities
12-09-2021
NA
N
6950052
Angela
Turner
Samol
FINOP
01-06-2023
NA
N
2721396
CHYRLAN
ELIZABETH
COOPER
COO
08-29-2023
NA
N
4160240
DAVID
JOHN
KOWACH
CEO
08-29-2023
NA
Y
2154665
RICHARD
SCOTT
NELSON
CFO
08-29-2023
NA
N
5014790
JOHN
W
ALEXANDER
CO-PRESIDENT
08-29-2023
NA
Y
2327561
AMPERSAND PARTNERS, LLC
N
92-3085231
OWNER
08-29-2023
E
N
David
W
Wiley III
Co-President
05-01-1996
C
Y
720094
Alyson
Mencio
Stevens
Chief Compliance Officer-Advisory Business
05-08-2017
NA
N
5451096
Kaley
Porter
Idol
Chief Compliance Officer Brokerage Activities
12-09-2021
NA
N
6950052
Angela
Turner
Samol
FINOP
01-06-2023
NA
N
2721396
CHYRLAN
ELIZABETH
COOPER
COO
08-29-2023
NA
N
4160240
DAVID
JOHN
KOWACH
CEO
08-29-2023
NA
Y
2154665
RICHARD
SCOTT
NELSON
CFO
08-29-2023
NA
N
5014790
JOHN
W
ALEXANDER
CO-PRESIDENT
08-29-2023
NA
Y
2327561
9-D2
9-E2
Wiley Bros. - Aintree Capital, LLC
3767
1536277
9-D2
9-E2
Wiley Bros. - Aintree Capital, LLC
3767
314676
9-D2
9-E2
Wiley Bros. - Aintree Capital
3767
137481
9-D2
Wiley Bros.-Aintree Capital, LLC
3767
44526420
9-D1
9-D2
9-D4
Wiley Bros.-Aintree Capital, LLC
3767
1922514
9-E2
Wiley Bros.-Aintree Capital, LLC
3737
1824625
1
9-C2
9-C3
9-C4
9-C5
9-D3
9-D5
William
Keith
Phillips
N
1447676
William Keith Phillps
1447676
1466979
Kaleu Idol
Kaley Idol
CCO BD
02-13-2024
N
N
N
N
N
Y
N
N
N
Y
Y
N
N
N
N
N
N
N
N
N
N