Ashton Thomas Securities, LLC

Broker-DealerFINRA Member

Total AUM

$1.9B

Discretionary

$1.8B

97% of AUM

Accounts

2,282

Employees

46

Advisory reps

97

Brokerage reps

44

Firm details

Headquarters: Rochester, New York
CRD number: 16629
Registered since: June 11, 2008
Website: ashtonthomaspw.com
Custodians: PERSHING LLC
Fee structure: Percentage of AUM
Client types: HNWI55.24%
Individuals44.71%
Corporations / Businesses0.05%
Services: Financial PlanningPortfolio Management for IndividualsPension Consulting

Firm profile

FINTRX

Overview

Ashton Thomas Securities, LLC is an independent broker-dealer that serves both individual/family clients and institutional accounts. The firm is SEC-registered (initial registration in 2008) and distributes advice and products through broker-dealer and insurance channels. Its practice combines fee-based portfolio management and financial planning for individuals and small businesses with pension consulting capabilities. Revenue appears to be primarily tied to a percentage-of-AUM fee model, and the firm also operates as an insurance broker and registered representative.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Exchange Traded Equities63%
Public Funds/Mutual Funds27%
Cash & Cash Equivalents3%
US Government Bonds2%
Non-Exchange Traded Equities1%

Owners & executives

Contacts

Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 347

Active vs passive

$692M in ETFs

Passive

81%

$563M

Active

15%

$129M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
VANGUARD S&P 500 ETF (VOO)	Vanguard	Passive	Large Blend	$53M	75,657	7.66%

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Primary office

Rochester, NY

Monroe

Location

Rochester, NY

Headquartered in Rochester, NY, anchoring the Rochester-Batavia-Seneca Falls, NY metro in the Northeast.

Metro area: Rochester-Batavia-Seneca Falls, NY
Region: Northeast
County: Monroe
Address: 100 Meridian Centre Blvd
Time zone: ET (UTC-5)
Office locations

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