# EDGAR Filing Document

**Accession Number:** 0000107136
**File Stem:** 0000107136-23-000002
**Filing Date:** 2023-2
**Character Count:** 14338
**Document Hash:** 24da39c0c1060286e05bca32403581ad
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000107136-23-000002.hdr.sgml**: 20230215

**ACCESSION NUMBER**: 0000107136-23-000002

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230206

**DATE AS OF CHANGE**: 20230215

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** WILEY BROS.-AINTREE CAPITAL, LLC
- **CENTRAL INDEX KEY:** 0000107136
- **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:** 23635090

**BUSINESS ADDRESS:**
- **STREET 1:** 40 BURTON HILLS BLVD.
- **STREET 2:** SUITE 350
- **CITY:** NASHVILLE
- **STATE:** TN
- **ZIP:** 37215
- **BUSINESS PHONE:** 615 255 6431

**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                         /BD
- **DATE OF NAME CHANGE:** 20000209

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** WILEY BROS AINTREE CAPITAL LLC                          /BD
- **DATE OF NAME CHANGE:** 20000101

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** WILEY BROS AINTREE CAPITAL LLC
- **DATE OF NAME CHANGE:** 19980416

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000107136

**Filer CCC:** XXXXXXXX

**Contact Name:** Kaley Idol

**Contact Phone:** 615-252-6214

**Contact Email:** kidol@wileybros.com

**Notification Emails:** kidol@wileybros.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** WILEY BROS.-AINTREE CAPITAL, LLC

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 3767

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 62-1627736

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00684-00

- **Municipal Advisor:** SEC File No: 867-01682

- **Broker-Dealer:** SEC File No: 008-3774, CRD No: 3767

- **SEC-Registered Investment Adviser:** SEC File No: 801-37145, CRD No: 3767

**E. Principal Office and Place of Business:** 40 BURTON HILLS BLVD., SUITE 350, NASHVILLE, TN, 37215

**Telephone Number:** 615-255-6431

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.wileybros.com

**G. Chief Compliance Officer (CCO):**

**Name:** Kaley Porter Idol

**Address:** 40 Burton Hills Blvd., Suite 350, Nashville, TN, 37215

**Phone Number:** 615-252-6214

**Email:** kidol@wileybros.com

**H. Business Affiliates:**

- **Name:** Hillsboro Advisors

  - **Issuing Agency:** SEC

  - **Jurisdiction:** TN

**I. Location of Books and Records:** Yes

### Item 2: Form of Organization

**A. Applicant's form of organization:** Limited Liability Company (LLC)

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** TN

**D. Date of Organization:** 05-01-1996

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 60

**B. Municipal Advisory Activities - Employees:** 1

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 1

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 0

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Contingent Fees
, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice ME Other Investments, Advice Use Of MD, Advice On Selection

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

- **Insurance:** Actively Engaged: Yes, Primary Business: —

- **Investment Advisor:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Investment Adviser, Investment Adviser

**Total Associated Persons:** 1

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** Yes

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** Yes

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** Yes

- **Have discretionary authority to buy/sell municipal securities for clients?:** Yes

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** Yes

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** Yes

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** Yes

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** Yes

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** Yes

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** Yes

- **SRO Barred/Suspended/Fined > $2,500?:** Yes

- **SRO Denied/Suspended/Revoked Registration?:** Yes

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                  | Title/Status                                  | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Wiley Bros. Inc.      | LLC Member                                    | 05-01-1996      | C - 25% but less than 50% | No                | 62-0429409   |  |
| David NMN Wiley III   | President                                     | 05-01-1996      | C - 25% but less than 50% | Yes               |  | 720094       |
| Lisa NMN James        | Vice President Fin Op                         | 05-01-1996      | NA - less than 5%         | No                |  | 1436648      |
| Alyson Mencio Stevens | Chief Compliance Officer-Advisory Business    | 05-08-2017      | NA - less than 5%         | No                |  | 5451096      |
| David W Wiley Jr      | Chairman                                      | 05-01-2019      | C - 25% but less than 50% | Yes               |  | 466938       |
| Kaley Porter Idol     | Chief Compliance Officer Brokerage Activities | 12-09-2021      | NA - less than 5%         | No                |  | 6950052      |

### Schedule B: Indirect Owners

| Owning Entity   | Name                   | Title/Status   | Date Acquired   | Ownership Code   | Control Person?   |
|:---|:---|:---|:---|:---|:---|
| Wiley Bros. Inc | David Warren Wiley, Jr | Chairman       | 05-01-1996      | E - 75% or more  | Yes               |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity     | Name                   | Title/Status                                          | Date Acquired   | Ownership Code                                          | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | Wiley Bros. Inc.       | LLC Member                                            | 05-01-1996      | C - 25% but less than 50%                               | No                | 62-0429409   |  |
|  | Direct      |  | David NMN Wiley III    | President                                             | 05-01-1996      | C - 25% but less than 50%                               | Yes               |  | 720094       |
| Delete | Direct      |  | Lisa NMN James         | Vice President Fin Op                                 | 05-01-1996      | NA - less than 5%                                       | No                |  | 1436648      |
| Amend  | Direct      |  | Alyson Mencio Stevens  | Chief Compliance Officer-Advisory Business, Secretary | 05-08-2017      | NA - less than 5%                                       | No                |  | 5451096      |
|  | Direct      |  | David W Wiley Jr       | Chairman                                              | 05-01-2019      | C - 25% but less than 50%                               | Yes               |  | 466938       |
|  | Direct      |  | Kaley Porter Idol      | Chief Compliance Officer Brokerage Activities         | 12-09-2021      | NA - less than 5%                                       | No                |  | 6950052      |
| NewAdd | Direct      |  | Angela Turner Samol    | Treasurer, FINOP, CFO                                 | 01-06-2023      | NA - less than 5%                                       | No                |  | 2721396      |
|  | Indirect    | Wiley Bros. Inc   | David Warren Wiley, Jr | Chairman                                              | 05-01-1996      | E - 75% or more                                         | Yes               |  | 466938       |
| NewAdd | Indirect    | Wiley Bros., Inc. | David Warren Wiley III | Director, Chairman, President                         | 05-01-2022      | F - Other (general partner, trustee, or elected member) | Yes               |  | 720094       |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Wiley Bros. - Aintree Capital, LLC

- **CRD Number:** 3767

- **Disclosure Number:** 1536277

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Wiley Bros. - Aintree Capital, LLC

- **CRD Number:** 3767

- **Disclosure Number:** 314676

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Wiley Bros. - Aintree Capital

- **CRD Number:** 3767

- **Disclosure Number:** 137481

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Wiley Bros.-Aintree Capital, LLC

- **CRD Number:** 3767

- **Disclosure Number:** 44526420

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Wiley Bros.-Aintree Capital, LLC

- **CRD Number:** 3767

- **Disclosure Number:** 1922514

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Wiley Bros.-Aintree Capital, LLC

- **CRD Number:** 3737

- **Disclosure Number:** 1824625

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C3, 9-C4, 9-C5, 9-D3, 9-D5)**

  - **Associated Person:** William Keith Phillips

  - **CRD Number:** 1447676

  - **Filed On (AP):** Form ADV/BD/U4 for William Keith Phillps

  - **Disclosure Number:** 1466979

### Execution Page

**Signature:** Kaley Porter Idol

**Signer Name:** Kaley Porter Idol

**Title:** CCO- BD

**Date:** 02-06-2023

**CRD Number:** 6950052