SEC-registered wealth management firm Broker-dealer affiliated
Ashton Thomas Securities, LLC
As of its Form ADV filed June 3, 2026, Ashton Thomas Securities, LLC, an SEC-registered, broker-dealer affiliated wealth management firm in Rochester, New York, reported $1.9 billion in regulatory assets under management across 2,282 accounts, ranking #81 among all wealth firms in New York by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 16629
- SEC file number
- 801-69225
- Registered since
- June 11, 2008
- Latest Form ADV filing
- June 3, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 5
Key figures
- Regulatory assets under management
- $1.9 billion
- Discretionary
- $1.8 billion (96.9%)
- Non-discretionary
- $58.5 million
- Accounts
- 2,282 (2,006 discretionary)
- Clients
- 2,282, approximate as reported
- Employees
- 46
- Advisory staff
- 26 performing investment advisory functions
- Average account
- $814,922
- Asset growth, 1 year
- 8.2% (from $1.7 billion a year earlier)
- Asset growth, 3-year annual rate
- 75.5% (from $344.3 million three years earlier)
- Asset growth, 5-year annual rate
- 41.5% (from $328.0 million five years earlier)
- Client growth, 1 year
- -12.2% (from 2,599)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $62.0 million |
| October 3, 2011 | $87.5 million |
| October 1, 2012 | $103.6 million |
| October 1, 2013 | $119.5 million |
| October 1, 2014 | $140.0 million |
| October 1, 2015 | $163.0 million |
| October 3, 2016 | $163.0 million |
| October 2, 2017 | $165.0 million |
| October 1, 2018 | $206.0 million |
| October 1, 2019 | $205.0 million |
| October 1, 2020 | $272.8 million |
| October 4, 2021 | $328.0 million |
| October 3, 2022 | $391.0 million |
| October 5, 2023 | $344.3 million |
| October 1, 2024 | $409.1 million |
| September 2, 2025 | $1.7 billion |
| October 2, 2026 | $1.9 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 301 clients | $1.0 billion | |
| Individuals (other than high net worth) 1,980 clients | $831.4 million | |
| Corporations or other businesses fewer than 5 clients | $994,770 |
How the firm is paid
- A percentage of assets under management
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Pension consulting
Financial planning clients (Item 5.H): 0.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Registered representative of a broker-dealer
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
- Accountant or accounting firm
- Insurance company or agency
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 37
- Also registered through a broker-dealer
- 37
- Employees who are IARs (Form ADV 5.B(3))
- 33
Designations held by the firm's IARs: CFP 2.
Between 11 and 37 of the firm's 37 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in New York
| Firm | City | RAUM |
|---|---|---|
| Wilkinson Global Asset Management LLC | New York | $1.9 billion |
| First Long Island Investors, LLC | Jericho | $1.9 billion |
| Rockbridge Investment Management, LLC | Syracuse | $1.8 billion |
| Altfest Personal Wealth Management | New York | $1.8 billion |
| Aegis Capital Corp. | New York | $1.8 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Ashton Thomas Securities, LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: ashtonthomaspw.com/ashton-thomas-securities
- Wealth management firms in New York
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.