Ashton Thomas Securities, LLC

Registered investment adviser · Rochester, NY · CRD #16629

Form ADV data as of 2026-09-01

Regulatory assets

$1.86 billion

Total accounts

2,282

Employees

Disclosure events

Firm details

Website: https://ashtonthomaspw.com/ashton-thomas-securities/
Telephone: 800-323-3746
SEC file number: 801-69225
Most recent Form ADV filing: 2026-06-03
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$1.80 billion
Non-discretionary regulatory assets under management	$58.5 million
Total regulatory assets under management	$1.86 billion
Discretionary accounts	2,006
Non-discretionary accounts	276
Total accounts	2,282
Regulatory assets under management attributable to non-U.S. persons	$2.8 million

People

Total employees (excluding clerical)	46
Employees performing investment advisory functions (including research)	26
Employees who are registered representatives of a broker-dealer	44
Employees registered as investment adviser representatives with a state	33
Employees registered as IARs for another investment adviser	15
Employees who are licensed insurance agents	19
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under management

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPension consulting services

Other business activities

Broker-dealer (registered or unregistered)Registered representative of a broker-dealerInsurance broker or agent

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Accountant or accounting firmInsurance company or agency

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	1,980	$831.4 million
High net worth individuals	301	$1.03 billion
Corporations or other businesses not listed above	1	$994,770