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
88
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 SEC-registered since 2008. The firm serves both individual/family and institutional clients through a mix of broker-dealer, registered representative, and insurance brokerage activities. Its advisory services emphasize financial planning, portfolio management for individuals and small businesses, and pension consulting. Compensation is primarily on a percentage-of-AUM basis. The firm reports affiliations with broker-dealer, other investment adviser, accounting, and insurance industry partners. It does not list itself as an active ESG investor, a capital allocator, or a multi-state registered adviser.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

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 6

  • Tomas Povedano

    Independent ContractorCRD 5978458

  • Gerald Ariyan

    Chief Executive OfficerCRD 2326282

  • Kimberly Johnson

    Chief Compliance OfficerCRD 5378831

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Contacts

3 of 82

  • TUNISIA HARRISON

    Advertising Review PrincipalCRD 5322024

  • Kevin Kading

    Senior DirectorCRD 6864477

  • Christopher Quincy

    Compliance SpecialistCRD 6378843

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 275

Active vs passive

$580M in ETFs

Passive

81%

$467M

Active

17%

$113M

ETFProviderStyleCategoryValueShares% of portfolio
VANGUARD 500 INDEX FUND (VOO)VanguardPassiveLarge Blend$51.2M85,5888.83%
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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