|
|
|
|
|
|
ASHTON THOMAS PRIVATE WEALTH, LLC
|
|
ASHTON THOMAS PRIVATE WEALTH, LLC
(CRD# 153902)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Scottsdale, AZ.
The SEC approved the firm to operate as an RIA in
Jun 2010.
In
Jul 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$241.7 Million,
and has discretion over
93%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
|
|
ASHTON THOMAS PRIVATE WEALTH, LLC
also reported in
Jul 2018:
-
13
employees,
with
11
performing advisory functions.
-
A total of 4 office locations.
-
No registrations with foreign financial regulatory authorities.
-
NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
|
|
ASHTON THOMAS PRIVATE WEALTH, LLC has no disclosure events reported to the SEC at this time.
|
|
|
|
|
|
|
|
|
ASHTON THOMAS PRIVATE WEALTH, LLC has Notice Filings with the following State Securities Authorities:
AK-Jun 2016, AZ-Jun 2010, CA-Mar 2011, CO-Aug 2012, FL-Dec 2016
, GA-Jan 2018, IL-Aug 2016, KS-Jul 2017, LA-Jan 2018, MT-Jan 2018
, NJ-Dec 2016, NM-Aug 2016, NV-Jan 2011, OR-Jan 2018, TX-Jun 2010
, UT-Jan 2011, VA-Jul 2017, WA-Jun 2013
|
|
Disclaimer:
The information presented above was gleaned from the SEC
website and is believed to be accurate.
FindingFraud.org is presenting this data for
informational purposes only and assumes no
responsibility for errors or omissions. Please
note that we are aware of many instances where RIAs
provided erroneous data to the SEC. Feel Free to
contact FindingFraud.org with questions or concerns.
|
|
|
|
