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ASHTON THOMAS SECURITIES, LLC

dba ASHTON THOMAS SECURITIES, LLC · CRD 16629 · Registered Investment Adviser

ASHTON THOMAS SECURITIES, LLC is a Registered Investment Adviser headquartered in ROCHESTER, NY. The firm reports $1,859,651,619 in regulatory assets under management across 2,282 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$1,801,181,382
Non-discretionary$58,470,237
Total RAUM$1,859,651,619
Accounts2,282

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 16629. adviserinfo.sec.gov/firm/summary/16629.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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