Ashton Thomas Securities, LLC

Broker-DealerFINRA MemberEst. 2008
Total AUM
$1.9B
Discretionary
$1.8B
97% of AUM
Accounts
2,282
Employees
46
Advisory reps
93
Brokerage reps
44

Firm details

Headquarters
Rochester, New York
CRD number
16629
Registered since
June 11, 2008
Website
ashtonthomaspw.com
Custodians
PERSHING LLC
Fee structure
Percentage of AUM
Client types
  • HNWI55.24%
  • Individuals44.71%
  • Corporations / Businesses0.05%
Services
Financial PlanningPortfolio Management for IndividualsPension Consulting

Firm profile

FINTRX

Overview

Ashton Thomas Securities, LLC is an independent broker-dealer organized as an LLC and operating since 2008. The firm serves both individual and institutional clients through a mix of broker-dealer and advisory activities: registered representative services, insurance brokerage, financial planning, portfolio management for individuals and small businesses, and pension consulting. Its advisory fees are charged as a percentage of assets under management. Ashton Thomas does not position itself as an ESG-focused manager.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 63%, Public Funds/Mutual Funds 27%, Cash & Cash Equivalents 3%, US Government Bonds 2%, Non-Exchange Traded Equities 1%, State & Local Bonds 1%, Investment Grade Corp Bonds 1%, Derivatives 1%, Private Funds 1%63%
  • Exchange Traded Equities63%
  • Public Funds/Mutual Funds27%
  • Cash & Cash Equivalents3%
  • US Government Bonds2%
  • Non-Exchange Traded Equities1%

Owners & executives

3 of 7
  • Zbynek Kozelsky

    Zbynek Kozelsky

    Chief Operating OfficerCRD 4273719

  • Aileen DeFroda

    Aileen DeFroda

    Deputy Chief Compliance OfficerCRD 5410978

  • Gerald Ariyan

    Gerald Ariyan

    Chief Executive OfficerCRD 2326282

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Contacts

3 of 86
  • Ross Fronk

    Ross Fronk

    Due Diligence ManagerCRD 5719034

  • Cory Schauer

    Cory Schauer

    Private Wealth Advisor, Managing Director, PartnerCRD 5775390

  • Ryan Lovett

    Ryan Lovett

    Senior Wealth AdvisorCRD 5833425

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

FINTRX

ETF holdings

1 of 230

Active vs passive

$464M in ETFs

Passive

76%

$351M

Active

20%

$114M

ETFProviderStyleCategoryValueShares% of portfolio
VANGUARD 500 INDEX FUND (VOO)VanguardPassiveLarge Blend$60.8M88,62313.10%
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Location

Primary office

Rochester, NY

Monroe

Location

Rochester, NY

Headquartered in Rochester, NY, anchoring the Rochester-Batavia-Seneca Falls, NY metro in the Northeast.

Metro area
Rochester-Batavia-Seneca Falls, NY
Region
Northeast
County
Monroe
Address
100 Meridian Centre Blvd
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth