Heather Hale
Heather Hale is a CFP-designated registered investment advisor at Thoroughbred Financial Services, LLC, based in Brentwood, TN, with 23 years of industry experience. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 3,400 clients with $3.4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
TFS charges a fee based on the amount of assets they manage. The fees are negotiable and can depend on the types of investments, complexity of the portfolio, reporting frequency, and other services provided. Here's a breakdown of the fees for different programs:
- Vanguard/Ascensus: 1% of the account value
- Thoroughbred Program (discretionary or nondiscretionary): 1.75% on the first $1,000,000 of assets, 1.25% on amounts exceeding $1,000,000
- Bond-Timing: 1.75% on accounts up to $500,000, 1.50% on accounts between $500,000 and $1 million, 1.15% on accounts between $1 million and $5 million. Fees are negotiated for accounts over $5 million.
- Cambridge Account (discretionary or nondiscretionary): 1.75% on the first $1,000,000 of assets, 1.25% on amounts exceeding $1,000,000
- Identified Portfolio: Never more than 2.00% of the account
- Identified Manager: Never more than 2.00% of the account
- Envestnet: Never more than 2.50% of the account
- Identified Portfolio (account data not available in electronic format): 1.25% on the first $1,500,000 of assets, 1.00% on amounts exceeding $1,500,000
Location
5110 Maryland Way, Suite 300, Brentwood, TN, 37027
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Heather is the Secretary/Treasurer of Diversified Partners, Inc., a Registered Investment Advisor, since October 2021. She spends about 10-20% of her time, including 16 hours during trading hours, handling administrative duties.
Employment History
Current Registrations
Thoroughbred Financial Services, LLC
Thoroughbred Financial Services, LLCBroker
Previous Registrations
Peak Financial Planning, LLC
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
Metlife Securities INC.
Msi Financial Services, INC.Broker
Transamerica Financial Advisors, INCBroker
Transamerica Financial Advisors, INC.
Investment Advisors International, INC.
World Group Securities, INC.Broker
World Equity Group, INC.
World Equity Group, INC.Broker
World Group Securities, INC.Broker
Wma Securities, INC.Broker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.