ASHTON THOMAS PRIVATE WEALTH, LLC

CRD

153902

SEC file #

801-71512

EIN

272399928

DBA names

Ashton Thomas Private Wealth

Economics

AUM

$6.01B

AUM band

$1B+

AUM trajectory

'20 · $368.5M

'21 · $618.9M

'22 · $994.5M

'23 · $2.15B

'25 · $4.05B

'26 · $6.01B

'20'26

$368.5M → $6.01B▲ +1531%

sec adv history

Client mix

Individuals Other	1,983
Individuals High Net Worth	1,198
Corporations	36
Charitable Organizations	11
Pension Profit Sharing Plans	1

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 12 advisors

'21 · 18 advisors

'22 · 22 advisors

'23 · 31 advisors

'25 · 35 advisors

'26 · 63 advisors

'20'26

12 advisors → 63 advisors▲ +425%

sec adv history

Primary office

SCOTTSDALE AZ

Branches

—

Custodian & Brokerage

Primary custodian

Charles Schwablow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting

Fee basis

% of AUMHourly charges

Filings

Latest ADV filing

03/31/2026

twitter.com/ashtonthomaspw(social)

ADV-W filed at

—

Website

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

ASHTON THOMAS MANAGEMENT LLC

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

ASHTON THOMAS MANAGEMENT LLC

BRODT, AARON, PAUL

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

social_url_excluded:twitter.com

rdap

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book

Yes

Form 5500 Plan Count

Form 5500 Total Compensation

123,270

Form 5500 Compensation Trajectory 3y

2025

123,270

Form 5500 Plan Count Trajectory 3y

2025

Schedule C Total Compensation

123,270

Schedule C Service Provider Rows

SEC EDGAR

Edgar Cik

0002019663

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2024-04-22

Edgar Last Filing Date

2026-05-11

Edgar 13f Count

Edgar 13f Latest AUM Estimate

Filing Date2026-05-11

Accession0001398344-26-008859

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

Charles Schwab	6
Pershing	4
Goldman Sachs	4
E*trade	4
Fidelity	2

adv brochure

Edgar Addresses

Mailing

8605 E. RAINTREE DRIVESUITE 280SCOTTSDALE, AZ 85260

Business

8605 E. RAINTREE DRIVESUITE 280SCOTTSDALE, AZ 85260

Edgar EIN

272399928

Edgar Recent Filings

13F-HR2026-05-11 · 0001398344-26-008859

13F-HR2026-01-29 · 0001398344-26-001588

Firm Has Custody

Yes

Mailing Office Differs

Trust Company Affiliate

People (56)

Aaron Brodt

5017914

GORNEY, DRINAN, J.

8011970

KADING, KEVIN

6864477

KOZELSKY, ZBYNEK

4273719

Brodt, Heidi, Maria

Schlanger, Cynthia-Elaine, Leal

6671739