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ASHTON THOMAS ADVISORS LLC

SCOTTSDALE, AZ · CRD 329492 · IAPD ↗ · 602-732-4745

$0Regulatory AUM
2Advisory reps
11Employees
0Clients
0Planning clients
0Private funds
5States
0Disclosures
wealthSegment
120-Day ApprovalSEC status

Filing changes

60
April 2025 — ASHTON THOMAS ADVISORS LLC (SCOTTSDALE, AZ) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
48
February 2025 — ASHTON THOMAS ADVISORS LLC notice-filed in AR, FL, NY, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
95
August 2024 — ASHTON THOMAS ADVISORS LLC (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.