ASHTON THOMAS SECURITIES, LLC
Latest filing: Mar 31, 2025 (110 days ago)
AUM
$1,717,957,312
320% change vs. 1 year ago
339% change vs. 3 years ago
530% change vs. 5 years ago
954% change vs. 10 years ago
Employee Count
75
212% change vs. 1 year ago
200% change vs. 3 years ago
159% change vs. 5 years ago
477% change vs. 10 years ago
Main Office
ROCHESTER, NY
200 CANAL VIEW BLVD., ROCHESTER, NY, UNITED STATES, 14623
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $1.6 |
| Non-Discretionary | $0.1 |
| Total | $1.7 |
| Client | AUM |
|---|---|
| Retail | $1.7 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $1.7 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 2,599 | $1.7 |
| Average Individual AUM | $661,007 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 2,599 | $1.7 |
| Average Retail AUM | $661,007 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| PERSHING LLC | JERSEY CITY-NJ-USA | $0.3 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $1.7 |
| Retail SMA AUM | $1.7 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 65% | $1.1 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 18% | $0.3 |
| Municipal | 2% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 10% | $0.2 |
| Other Pools | 0% | $0.0 |
| Cash | 5% | $0.1 |
| Other | 0% | $0.0 |
| Total | 100% | $1.7 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| ASHTON THOMAS PRIVATE WEALTH, LLC | $4.1 | 153902 | |
| MARELLO INVESTMENT ADVISORS, INC. | $0.0 | 112946 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
Representatives
25 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| KENNETH ELLIOTT | ROCHESTER | NY | S66|2020-01-13 | ||||||
| JAMES MCDONALD | ROCHESTER | NY | S63|1997-08-12 | ||||||
| DAVID PRULL | ROCHESTER | NY | S63|1997-12-10|S65|1999-02-05 | ||||||
| CHRISTINE LANZISERA | ROCHESTER | NY | S63|2009-07-31 | ||||||
| JOSEPH LANZISERA | ROCHESTER | NY | S65|2007-07-02 | ||||||
| INES SEFERI | ROCHESTER | NY | S63|2012-09-07|S65|2013-08-26 | ||||||
| PHILLIP YARGEAU | ROCHESTER | NY | S63|1993-07-13|S65|2005-10-19 | ||||||
| STEPHEN HARTMANN | ROCHESTER | NY | S63|1995-07-31|S65|2007-09-11 | ||||||
| TERRENCE BRITT | ROCHESTER | NY | S63|1991-09-11|S65|2007-05-10 | ||||||
| CORY SCHAUER | ROCHESTER | NY | S66|2010-06-07 | ||||||
| EMIL BIELECKI | ROCHESTER | NY | S63|1981-10-02 | ||||||
| C STAFFORD | ROCHESTER | NY | S63|1991-10-31|S65|2005-10-12 | ||||||
| PAUL KRUGER | ROCHESTER | NY | S63|1991-11-02|S65|2007-08-30 | ||||||
| RYKEN RUUSPAKKA | ROCHESTER | NY | S63|2016-06-20|S66|2017-03-27 | ||||||
| JON DUPRAU | ROCHESTER | NY | S63|2001-05-10|S65|2001-05-17 | ||||||
| JUSTIN CUVELIER | ROCHESTER | NY | S63|2011-04-20|S66|2013-03-12 | ||||||
| TAMI LANZISERA | ROCHESTER | NY | S63|1996-04-03|S65|2007-04-09 | ||||||
| PETER SARTORI | ROCHESTER | NY | S66|2006-02-06 | ||||||
| JENNIFER LOTTA | ROCHESTER | NY | S66|1999-12-29 | CERTIFIED FINANCIAL PLANNER | |||||
| JUSTINE KINAJ | ROCHESTER | NY | S66|2016-06-25 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-06-02 | $1.7 | $0.0 | 0% | 75 | 0 | 0% |
| 2025-04-21 | $1.7 | $0.0 | 0% | 75 | 0 | 0% |
| 2024-04-02 | $0.4 | $1.3 | 320% | 24 | 51 | 212% |
| 2023-04-04 | $0.3 | $1.4 | 399% | 24 | 51 | 212% |
| 2022-04-01 | $0.4 | $1.3 | 339% | 25 | 50 | 200% |
| 2021-04-05 | $0.3 | $1.4 | 424% | 25 | 50 | 200% |
| 2020-04-01 | $0.3 | $1.4 | 530% | 29 | 46 | 159% |
| 2019-04-01 | $0.2 | $1.5 | 738% | 19 | 56 | 295% |
| 2018-04-02 | $0.2 | $1.5 | 734% | 16 | 59 | 369% |
| 2017-04-01 | $0.2 | $1.6 | 954% | 16 | 59 | 369% |
| 2016-04-01 | $0.2 | $1.6 | 954% | 16 | 59 | 369% |
| 2015-04-01 | $0.2 | $1.6 | 954% | 13 | 62 | 477% |
| 2014-04-01 | $0.1 | $1.6 | 1127% | 13 | 62 | 477% |
| 2013-04-01 | $0.1 | $1.6 | 1338% | 15 | 60 | 400% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| NY, AL-06/06/2022, AR-09/16/2021, AZ-08/10/2015, CA-05/22/2009, CO-07/11/2011, CT-06/20/2011, DC-01/10/2024, DE-11/23/2021, FL-06/11/2008, GA-01/04/2010, HI-01/04/2010, ID-01/10/2024, IL-01/10/2024, IN-03/06/2017, LA-01/10/2024, MA-11/07/2008, MD-09/02/2010, ME-06/27/2012, MI-01/05/2010, MN-01/04/2010, MO-09/01/2011, NC-01/07/2010, NE-08/05/2022, NH-10/17/2018, NJ-06/18/2008, NV-09/22/2008, NY-06/11/2008, OH-01/04/2010, OK-01/10/2024, OR-06/10/2013, PA-08/07/2008, PR-03/29/2018, RI-06/20/2011, SC-01/18/2012, TN-01/05/2010, TX-01/11/2010, UT-01/13/2010, VA-06/20/2011, VI-01/10/2024, VT-09/25/2017, WA-09/22/2008, WI-01/18/2022, WV-07/23/2021 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PENSION CONSULTING |
| OTHER ACTIVITIES |
|
BROKER DEALER INSURANCE AGENT |
ADVDB.CO • SOURCE: SEC FORM ADV