← Directory
ASHTON THOMAS SECURITIES, LLC
CRD 16629File 801-69225
APPROVED
Retail clients
Filing as of Jun 3, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$1.86B
Top 25% of cohort (national)
Discretionary AUM
$1.80B
Non-discretionary $58.5M
Clients
2,282
2,282 accounts
Employees
46
Above cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jun 11, 2008
- Principal office
- 100 MERIDIAN CENTRE BLVD, SUITE 250, ROCHESTER, NY, 14618
- Phone
- 800-323-3746
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.86B
- Discretionary AUM
- $1.80B
- Non-discretionary AUM
- $58.5M
- Discretionary accounts
- 2,006
- Non-discretionary accounts
- 276
- Total accounts
- 2,282
- AUM per client
- $815K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $995K |
| High net worth individuals | 301 | $1.03B |
| Individuals (other than high net worth individuals) | 1,980 | $831.4M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.