Ashton Thomas Private Wealth

CRD#153902
Investment Advisor Firm

Answer a few questions and
get matched with an advisor.

Find an Advisor

Overview

Ashton Thomas Private Wealth is a financial advisory company headquartered in Scottsdale, Arizona. The company oversees $368.5 million in assets under management throughout 1,428 client accounts, placing it among the bigger investment advisory firms in the nation by assets under management (AUM). Ashton Thomas Private Wealth has a small group of 14 employees, twelve of whom are financial advisors. Ashton Thomas Private Wealth is not a registered broker-dealer, signifying that the advisor is not able to buy and sell securities for its own accounts as well as its customers' and instead is required to go through a broker-dealer company to do so. Securities are defined as exchangable fiscal assets like bonds, options and equities.

Ashton Thomas Private Wealth oversees most of its client assets in a discretionary manner. Discretionary management is a structure in which buy and sell choices are made by a portfolio manager without requiring the client's consent. The firm also oversees 103 non-discretionary accounts totaling $11.2 million in AUM. Ashton Thomas Private Wealth administers about $258,025 in assets for every account. An average financial advisor at Ashton Thomas Private Wealth manages around 119 client accounts.

The firm's headquarters is at 15279 N Scottsdale Road, Scottsdale, Arizona 85254. The company is legally allowed to serve clients throughout 13 U.S. states and territories.

Assets Under Management

$368.5 million

Number of Advisors

12

Disclosures

No

Office Location

15279 N Scottsdale Road
Scottsdale, AZ 85254

Ashton Thomas Private Wealth by the Numbers

Total Assets Under Management

$368.5 million

National Average: $3.3 billion
Total Number of Employees

14

National Average: 31
Total Number of Accounts

1,428

National Average: 1,935
Average Account Size

$258.0 thousand

National Average: $1.7 million

Find a dedicated advisor for your needs

Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.

Back to Overview

Products and Services

Ashton Thomas Private Wealth offers a number of services, which can include financial planning services, portfolio management for individuals and small businesses, pension consulting services, selection of other advisers, educational seminars and other services. In the prior financial year, the firm provided financial planning services to 1-10 of its customers. The firm does not sell products or offer services other than investment advice to its investment advisory accounts. The firm is also affiliated with one or more other companies in the financial services industry, including with an insurance company or agency.

Core Advisor Services

  • Offered by 44% of firms

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Offered by 61% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

  • Find a firm that offers this service

    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

  • Offered by 23% of firms

    Selection of Other Advisors

    This is the firm's assistance with choosing other advisors to work with who may have different specialties.

  • Find a firm that offers this service

    Publication of Periodicals

    This is the publication of various financial education materials.

  • Offered by 10% of firms

    Educational Seminars/Workshops

    This is the hosting of seminars or workshops to educate investors on financial concepts.

Back to Overview

Fee Structure

Fees for financial advice typically are based on which services the firm provides the client. However, fee types billed by the company most likely consist of some blend of the following fee types: asset-based or hourly. Wrap fee programs, or the practice of bundling services for a single fee, are offered by Ashton Thomas Private Wealth.

Available

  • Offered by 72% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 35% of firms

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

Unavailable

  • Find one of the 2% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 17% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 39% of firms that offer this fee type

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

Back to Overview

Types of Clients

It caters to retail investors, high net worth investors and pension plans. Out of its 1,428 clients, Ashton Thomas Private Wealth's biggest client type by number of accounts is retail investors, but it also manages money for 144 high-net-worth individuals. The SEC defines a high-net-worth individual as an individual who has at least $750,000 in AUM or a net worth of more than $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). None of its clients are represented by people from outside of the U.S.

  • High-Net-Worth Individuals* - 26.67%
  • Other Individuals - 71.3%
  • Corporations - 2.04%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

Find an advisor who will work directly with you

Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.

Back to Overview

Disclosures

Ashton Thomas Private Wealth does not have any disclosures.

Please visit its Form ADV for more details.

Back to Overview
Back to Overview

Find a financial advisor near you

If you're interested in working with an advisor closer to you, we can help you find one. Click here to find your advisor matches today.

Back to Overview

Financial Advisors at Ashton Thomas Private Wealth

Robert Lambert
Draper, UT
April Horace
Denver, CO
Brandon Kahoun
Scottsdale, AZ
Kodi Thruston
Scottsdale, AZ
Angela Caballero
Tucson, AZ
Lance Knight
Las Vegas, NV
Eddie Williams
Scottsdale, AZ
Ryan Lovett
Scottsdale, AZ
Howard Cox
Mesa, AZ

Not sure which advisor is right for you? Use our matching tool

Our matching tool simplifies the process of finding a financial advisor. To match you with top financial advisors nearby, we ask you a series of questions about your retirement plans, life status, investment goals and advisor preferences, which are all important topics to consider when choosing a financial advisor. Click here to find your advisor matches today

Back to Overview

This content was compiled from the SEC and FINRA