ASHTON THOMAS SECURITIES, LLC
Adviser information for ASHTON THOMAS SECURITIES, LLC last updated from Form ADV on January 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 24 |
|---|---|
| Investment Advisory/Research | 20 |
| Registered Broker-Dealer Representatives | 20 |
| Registered State Investment Advisers | 20 |
| Licensed Agents of an Insurance Company | 18 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,403 | $300.9M |
| Non-Discretionary | 318 | $43.4M |
| Total | 2,721 | $344.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,141 | $344.3M |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 241.7M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| MANAGED ETF PORTFOLIOS | ASHTON THOMAS SECURITIES, LLC |
| MORNINGSTAR PORTFOLIOS | ASHTON THOMAS SECURITIES, LLC |
| FB ADVISORY | ASHTON THOMAS SECURITIES, LLC |
Identifiers
| SEC RIA File Number | 801-69225 |
|---|---|
| SEC ERA File Number | 801-69225 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 16629 |
| Legal Entity Identifier | None |
Principal Office
200 CANAL VIEW BLVD.SUITE 204
ROCHESTER
NY
United States
Monday - Friday, 9-5
Tel: 585-424-1234, Fax: 585-424-1247
Chief Compliance Officer
JOSEPH LANZISERA
PRESIDENT, CEO, CCO
200 CANAL VIEW BLVD
ROCHESTER
NY
United States
Tel:
585-424-1234
Fax:
585-424-1247
J**@******************M
(Full email address available in API data)
Regulatory Contact
TERRENCE P. BRITT
CHIEF OPERATING OFFICER
200 CANAL VIEW BLVD.
SUITE 204
ROCHESTER
NY
United States
Tel:
585-424-1234
Fax:
585-424-1247
B****@******************M
(Full email address available in API data)
Industry Affiliates
| ASHTON THOMAS PRIVATE WEALTH | Other investment adviser, including financial planners |
| MARELLO INVESTMENT ADVISORS, INC. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ASHTON THOMAS MANAGEMENT, LLC | Domestic Entity | EXPLORER INVESTMENT HOLDINGS, LLC | MEMBER | 10/2023 | > 75% |
| LANZISERA, JOSEPH ANTHONY | Individual | – | PRESIDENT, CHIEF COMPLIANCE OFFICER, FINANCIAL & OPERATIONS PRINCIPAL | 11/1997 | < 5% |
| BRITT, TERRENCE PATRICK | Individual | – | VICE PRESIDENT / COO | 05/2007 | < 5% |
| EXPLORER INVESTMENT HOLDINGS, LLC | Domestic Entity | – | MEMBER | 12/2023 | > 75% |
| ARAX WEALTH MANAGEMENT, LLC | Domestic Entity | ASHTON THOMAS MANAGEMENT, LLC | MEMBER | 08/2023 | > 75% |
| ARAX MIDCO, LLC | Domestic Entity | ARAX WEALTH MANAGEMENT, LLC | MEMBER | 06/2023 | > 75% |
| ARAX INVESTMENT PARTNERS, LLC | Domestic Entity | ARAX MIDCO, LLC | MEMBER | 06/2023 | > 75% |
| ARAX BUSINESS TRUST | Domestic Entity | ARAX INVESTMENT PARTNERS, LLC | MEMBER | 03/2023 | > 75% |
| REDBIRD CAPITAL PARTNERS FUND IV GENPAR LLC | Domestic Entity | ARAX BUSINESS TRUST | TRUSTEE | 01/2023 |