CRD: 16629
Ashton Thomas Securities, LLC
This is a profile preview from the AdvizorPro Platform.
Request a Free TrialFirm Details
- Custodian
- Pershing
- Clients
- Retail and Institutional
- Platforms
- Available in AdvizorPro
- Established Date
- 12-04-1985
- Office Locations
- 19
Office Locations
About Ashton Thomas Securities, LLC
Ashton Thomas Securities is an independent broker-dealer serving wealth advisors/registered representatives and their retail clients. Formerly Excel Securities (FINRA broker-dealer since 1985), it was acquired by Ashton Thomas, an Arax Investment Partners firm, in 2023. The platform supports brokered transactions and products including private placements, variable life/annuities, mutual funds, REITs and 1031 exchange programs, clearing through Pershing.
Reported data analysis
What the numbers show
Between August 15, 2025 and June 3, 2026, reported AUM increased 8.2%, from $1.7B to $1.9B.
Across 5 reported observations, AUM increased 375.6% between August 5, 2022 and June 3, 2026, from $391.0M to $1.9B.
Of the latest reported AUM, 96.9% is discretionary and 3.1% is non-discretionary.
The firm reports 26 advisory representatives and 2,282 clients, or 87.8 clients per representative. That equates to $814.9K in reported AUM per client.
The profile lists 19 reported office locations and 40 years in operation. The source data was last updated on June 3, 2026. Figures reflect reported regulatory data and may not include subsequent changes.
Team overview
Additional firm insights
Explore the complete firm intelligence record
AdvizorPro subscribers can review Ashton Thomas Securities, LLC's detailed market signals, platform relationships, investment themes, and prospecting intelligence in one place.
Available data coverage
- Asset Classes
- Client Personas
- Custodian
- Fund Managers
- Investment Themes
- Investment Vehicles
- Platform
- Services
- Technology
Unlock the underlying categories and values
The full Ashton Thomas Securities, LLC record includes the detailed values behind these data categories, along with filters and export-ready prospecting fields.
Owner & Executives
Kimberly Johnson
Chief Compliance Officer
- CRD
- #5378831
- Ownership
- Less than 5%
Kevin Kading
Chief Financial Officer, Controller
- CRD
- #6864477
- Ownership
- Less than 5%
Showing 2 of 4 owners & executives
Unlock allContacts
MATTHEW BRUCE ADLER
Financial Advisor
- CRD
- #1021953
Gerald Haig Ariyan
Chairman
- CRD
- #2326282
Showing 2 of 94 contacts
Unlock allAssets Under Management
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $1,801,181,382 | $897,897 |
| Non-Discretionary | $58,470,237 | $211,849 |
| Total | $1,859,651,619 | $814,922 |
Want deeper insight
into 45,000+ RIAs?
What you're seeing here is just the starting point.
Separately Managed Accounts
SMA allocation detail is available
Ashton Thomas Securities, LLC has reported separately managed account data across 9 asset classes. AdvizorPro provides the associated asset values, allocation percentages, and exportable breakdown.
13F Holdings | Q2 2026
Review the latest reported holdings
Ashton Thomas Securities, LLC's 13F holdings detail is available for Q2 2026, including issuer, security class, CUSIP, ticker, portfolio weight, and reported value.