FHN FINANCIAL MAIN STREET ADVISORS, LLC
Adviser information for FHN FINANCIAL MAIN STREET ADVISORS, LLC last updated from Form ADV on October 11th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Nevada, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 24 | $18.6B |
| Non-Discretionary | 6 | $2.9B |
| Total | 30 | $21.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 30 | $21.5B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 11 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for businesses or institutional clientsCONSULTING FOR GOVERNMENT ENTITIES |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-63805 |
|---|---|
| SEC ERA File Number | 801-63805 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 133719 |
| Legal Entity Identifier | None |
Principal Office
10655 PARK RUN DRIVESUITE 120
LAS VEGAS
NV
United States
Monday - Friday, 7AM TO 4PM
Tel: 702-575-6592, Fax: 702-575-6670
Websites
Chief Compliance Officer
TONYA DAZZIO
CHIEF OPERATING OFFICER
10655 PARK RUN DRIVE
SUITE 120
LAS VEGAS
NV
United States
Tel:
702-575-6592
Fax:
702-575-6670
T***********@****************M
(Full email address available in API data)
Industry Affiliates
| FHN FINANCIAL CAPITAL MARKETS | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| FHN FINANCIAL MUNICIPAL ADVISORS | Registered municipal advisor |
| FHN FINANCIAL SECURITIES CORP. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| FIRST HORIZON ADVISORS, INC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| FIRST HORIZON BANK | Banking or thrift institution |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PHILLIPS, RICHARD, LEE | Individual | – | PRESIDENT | 02/2012 | < 5% |
| DAZZIO, TONYA, L | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2012 | < 5% |
| FIRST HORIZON BANK | Domestic Entity | – | OWNER | 02/2012 | > 75% |
| BOLLINGER, RICHARD, KLEIN | Individual | – | MANAGER | 02/2012 | < 5% |
| FIRST HORIZON NATIONAL CORP. | Domestic Entity | FIRST HORIZON BANK | OWNER | 01/2012 | > 75% |
| RITCHESON, DONALD, ALLEN | Individual | – | MANAGER | 02/2012 | < 5% |