Broker-dealer firm · Rochester, NY
Ashton Thomas Securities, LLC
SEC-registered investment adviser · CRD 16629 · SEC 801-69225
At a glance
Ashton Thomas Securities, LLC is an SEC-registered investment adviser based in Rochester, New York, with $1.9 billion in regulatory assets under management as of its Form ADV filed June 3, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 2,281 individual clients. By Form ADV it is a broker-dealer firm, ranked 138th of 391 broker-dealer firms and 3,799th of 17,210 SEC-registered advisers by assets.
Main office 800-323-3746ashtonthomaspw.comAs filed on Form ADV
- Regulatory AUM
- $1.9B
- Rank among broker-dealer firms
- #138 of 391
- Rank among all SEC RIAs
- #3,799 of 17,210
- Rank in New York
- #894 of 2,591
- Individual clients
- 2,281
- High-net-worth clients
- 301
- Accounts
- 2,282
- Discretionary
- 97% of AUM
- Employees
- 46
- Advisory staff
- 26
- Offices
- 6
Owners and executives on its Form ADV
- Joseph Anthony LanziseraPresident
- Kimberly JohnsonChief Compliance Officer
- Zbynek KozelskyChief Operating Officer
- Kevin KadingChief Financial Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Ashton Thomas Securities, LLC is a hybrid RIA: 44 of its employees are also registered representatives of a broker-dealer. It reports a broker-dealer among its affiliates on Form ADV.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 301 | $1.0B | 55% |
| Individuals | 1,980 | $831M | 45% |
| Corporations or other businesses | 1 | $1M | <1% |
Disciplinary disclosures
Ashton Thomas Securities, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗ashtonthomaspw.com ↗
AtlasMembers
The full record on Ashton Thomas Securities, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 103 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Ashton Thomas Securities, LLC manage?
Ashton Thomas Securities, LLC reports $1.9 billion in regulatory assets under management across 2,282 accounts, 97% of it on a discretionary basis, on its Form ADV filed June 3, 2026.
What kind of firm is Ashton Thomas Securities, LLC?
Ashton Thomas Securities, LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Ashton Thomas Securities, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($1.0 billion, 301 clients); individuals ($831 million, 1,980 clients); corporations or other businesses ($994,770, 1 clients).
Does Ashton Thomas Securities, LLC have any disciplinary history?
Ashton Thomas Securities, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Ashton Thomas Securities, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-06-03), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →