RIA Intel›Advisers›New York›ASHTON THOMAS SECURITIES, LLC

ASHTON THOMAS SECURITIES, LLC

Advisory

N·ROCHESTER, NY

Data as of Jan 26, 2026 · Source: SEC Form ADV

Total AUM

$1.7B

1-Year AUM Growth

+320.0%

3-Year CAGR

+63.0%

Employees

48

Assets Under Management

Total AUM$1.7B

Discretionary AUM$1.6B

Non-Discretionary AUM$83M

Discretionary %95.2%

Total Clients2,599

Team

Total Employees48

Investment Advisers75

Employee Growth (1Y)+140.0%

Filing History

Total Filings on Record56

First FilingMay 19, 2008

Latest FilingJan 26, 2026

🔒 Full AUM trend chart and 56 historical filings spanning 18+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on ASHTON THOMAS SECURITIES, LLC

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.