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ASHTON THOMAS SECURITIES, LLC
CRD 16629File 801-69225
APPROVED
Retail clients
Filing as of Jun 3, 2026
Feed vintage Oct 1, 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 | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 75 | 46 | decreased by29 |
| Apr 1, 2026 | Clients | 2,599 | 2,282 | decreased by317 |
| Apr 1, 2026 | AUM | $1,717,957,312 | $1,859,651,619 | increased by$141,694,307 |
| Apr 1, 2026 | Accounts | 2,599 | 2,282 | decreased by317 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 25 | 75 | increased by50 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,500 | 2,599 | increased by1,099 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $391,000,000 | $1,717,957,312 | increased by$1,326,957,312 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,700 | 2,599 | increased by899 |
| Apr 1, 2022 | Clients | 1,300 | 1,500 | increased by200 |
| Apr 1, 2022 | AUM | $328,000,000 | $391,000,000 | increased by$63,000,000 |
| Apr 1, 2022 | Accounts | 1,769 | 1,700 | decreased by69 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “ASHTON THOMAS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ASHTON THOMAS” may also match similarly-named firms). Confirm identity against each filing.
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.