Ashton Thomas Securities, LLC

CRD#16629
Investment Advisor Firm

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Learn more about Ashton Thomas Securities, LLC

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Ashton Thomas Securities, LLC is located at 200 Canal View Blvd., Rochester, NY. The firm employs 20 financial advisors to manage client portfolios and provide financial guidance. Ashton Thomas Securities, LLC is a registered broker-dealer.

    Ashton Thomas Securities, LLC oversees $409.1 million in assets under management across 1,799 accounts, of which 1,269 are discretionary and 530 are non-discretionary. Over the past year, the firm has provided financial planning services to between 26 and 50 clients. The services offered include financial planning services, portfolio management for individuals and small businesses, and pension consulting services. The firm caters to retail investors, with retail investors being the largest client type by accounts. The fee structure at Ashton Thomas Securities, LLC is asset-based. The firm maintains affiliations with a broker-dealer or securities dealer.

    Ashton Thomas Securities, LLC is registered in the states of Alabama, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Nebraska, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, and Wisconsin.

    Assets Under Management

    $409.1 million

    Number of Advisors

    20

    Disclosures

    No

    Office Location

    200 Canal View Blvd.
    Rochester, NY 14623

    Ashton Thomas Securities, LLC by the Numbers

    Total Assets Under Management

    $409.1 million

    National Average: $8.6 billion
    Total Number of Employees

    24

    National Average: 64
    Total Number of Accounts

    1,799

    National Average: 375,227
    Average Account Size

    $227.4 thousand

    National Average: $23.0 thousand
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    Products and Services

    Ashton Thomas Securities, LLC provides a number of financial services, which can include financial planning services, portfolio management for individuals and small businesses, and pension consulting services. In the last fiscal year, Ashton Thomas Securities, LLC provided 26-50 of its clients with financial planning services. The Company is engaged in selling products or offering services different than investment advisory services to its customers.

    Core Advisor Services

    • Offered by 31% 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 46% 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

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    Fee Structure

    Fees for financial advisory services typically depend on which services the firm provides the client. Fees billed by Ashton Thomas Securities, LLC typically consist of the following fee type: asset-based.The company participates in a wrap fee program, in which the company offers a service bundle for a comprehensive fee.

    Available

    • Offered by 69% 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.

    Unavailable

    • Find one of the 21% of firms that offer this fee type

      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.

    • Find one of the 1% 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 26% 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 0% 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 32% 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 10% 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.

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    Types of Clients

    The firm caters to retail investors. Ashton Thomas Securities, LLC's biggest client group by number of accounts is retail investors.

    • High-Net-Worth Individuals* - 0%
    • Other Individuals - 100%
    • Corporations - 0%
    • 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.

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    Disclosures

    Ashton Thomas Securities, LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Ashton Thomas Securities, LLC

    Ryken Ruuspakka
    Endicott, NY
    Justine Kinaj
    New York, NY
    Kenneth Elliott
    Rochester, NY
    Ines Seferi
    Rochester, NY
    Justin Cuvelier
    Rochester, NY
    Jody Swapp
    Rochester, NY
    Jamie Fisher
    Rochester, NY
    Robert Lee
    Rochester, NY
    Jon Duprau
    New York, NY

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    The content in this profile was updated by SmartAsset on 6/19/2024. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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