ASHTON THOMAS SECURITIES, LLC

Registered adviser

CIK

771572

Location

ROCHESTER, NY

Portfolio Value

Small $868,256,020

Diversification

Diversified

Filing Date

Global Rank

#3,192 / 8,817 ▼ 441 · as of Jun 2026

Top Industry

Semiconductors 14.9%

Period ended 27 days ago

Filed Oct 26, 2026 · 1d

10 quarters · since Jun 2024

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Oct 1, 2026

Form ADV adviser

CRD 16629

Roster of Oct 1, 2026

Regulatory AUM

$1,859,651,619

Main clients

Individuals and high net worth (100% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Oct 2026	$1,859,651,619	Individuals and high net worth (100%)
Apr 2025 to Mar 2026	$1,717,957,312	Individuals and high net worth (100%)
Apr 2024 to Mar 2025	$409,080,530	Individuals and high net worth (100%)
May 2023 to Mar 2024	$344,257,941	Individuals and high net worth (100%)
Apr 2023	$344,257,941	Individuals and high net worth (100%)
Apr 2022 to Mar 2023	$391,000,000	Individuals and high net worth (100%)

3 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, the newest measured quarter, never from the firm's own description.

Style

Diversified active

Top 10 weight 40.4%, 36.3 effective positions, active share 55.8% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Medium turnover

30.3% over the last four quarters (30% to under 100%)

Horizon

Medium horizon

Value-weighted holding period 7.5 quarters (4 to under 12)

Closest benchmark: every 13F filer's combined book, active share 55.8%; sector active share 36.0% against the combined 13F book's sector weights.

Over time 9 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

508 tracked positions · as of Sep 30, 2026 · Δ vs Jun 30, 2026

Top Position

18.4%

+7.9 pts

Top 5

38.3%

+10.3 pts

Top 10

50.5%

+10.1 pts

HHI

515

Diversified+240

Portfolio Trend

10 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	56.5%	$490,395,674	275
Technology	16.4%	$141,966,245	54
Financial Services	7.3%	$63,783,845	61
Communication Services	5.1%	$43,885,624	8
Healthcare	4.0%	$34,465,613	29
Consumer Cyclical	3.8%	$32,789,090	17
Industrials	3.0%	$25,955,809	24
Consumer Defensive	1.6%	$14,023,718	11
Energy	1.3%	$11,684,307	13
Basic Materials	0.5%	$4,378,616	7
Real Estate	0.3%	$2,914,435	4
Utilities	0.2%	$2,013,044	5

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
IMFL	Invesco International Developed Dynamic Multifactor ETF	+44,205	520,347	$17,389,996
OMFL	Invesco Russell 1000 Dynamic Multifactor ETF	+32,042	438,612	$30,575,642
SCHW	Schwab Charles Corp	+20,169	24,232	$2,368,435
MNST	Monster Beverage Corp	+19,577	38,429	$1,599,414
BSJR	Invesco BulletShares 2027 High Yield Corporate Bond ETF	+17,995	25,513	$563,964
CGBL	Capital Group Core Balanced ETF	+17,307	63,507	$2,333,882
GOVI	Invesco Equal Weight 0-30 Year Treasury ETF	+15,738	341,714	$8,631,695
SPYG	State Street(R) SPDR(R) Portfolio S&P 500(R) Growth ETF	+14,374	118,822	$14,624,611
XLU	State Street(R) Utilities Select Sector SPDR(R) ETF	+12,356	31,095	$1,226,386
RWL	Invesco Ltd.	+11,686	109,118	$0
NVDA	Nvidia Corp	+11,075	146,180	$33,384,588
GTO	Invesco Total Return Bond ETF	+10,386	228,149	$10,173,163
SCHC	Schwab International Small-Cap Equity ETF	+9,633	124,153	$6,175,370
JMEE	JPMorgan Small & Mid Cap Enhanced Equity ETF	+9,105	87,987	$6,474,083
VTEB	VANGUARD TAX-EXEMPT BOND INDEX FUND	+8,745	232,123	$10,993,345
AMZN	Amazon Com Inc	+8,653	73,082	$18,208,380
AAPL	Apple Inc.	+8,644	74,435	$24,788,343
APH	Amphenol Corp	+8,486	18,438	$1,554,323
CORO		+8,121	65,748	$2,389,939
ICLO		+7,255	165,980	$4,247,428
PZA	Invesco National AMT-Free Municipal Bond ETF	+6,625	186,431	$3,987,759
INTC	Intel Corp	+6,271	14,194	$1,706,544
CGMS	Capital Group U.S. Multi-Sector Income ETF	+6,210	8,110	$212,725
RAAA	Reckoner Yield Enhanced AAA CLO ETF	+5,900	22,250	$558,697
GOOG	Alphabet Inc.	+5,573	22,282	$7,592,368
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
NAN	Nuveen New York Quality Municipal Income Fund	−67,400	99,156	$973,711
MMT	Aberdeen Multi-Market Income Fund	−40,006	132,373	$0
VTN	Invesco Trust for Investment Grade New York Municipals	−39,000	102,200	$956,592
BSJS	Invesco BulletShares 2028 High Yield Corporate Bond ETF	−38,866	30,334	$649,632
USA	Liberty All Star Equity Fund	−27,606	98,195	$566,585
MO	Altria Group, Inc.	−17,592	5,398	$363,501
ZTR	Virtus Total Return Fund Inc.	−17,500	219,300	$1,322,379
XLF	State Street Corp	−14,325	22,574	$0
—		−13,170	11,304	$0
VOO	VANGUARD 500 INDEX FUND	−12,966	75,657	$53,024,965
OXY	Occidental Petroleum Corp	−10,532	59,614	$3,297,846
VUG	VANGUARD GROWTH INDEX FUND	−9,900	37,407	$3,370,744
KO	Coca Cola Co	−8,033	22,115	$1,903,659
BN	BROOKFIELD Corp	−7,356	45,990	$1,676,795
AOD	abrdn Total Dynamic Dividend Fund	−7,000	93,500	$949,960
ORLY	O Reilly Automotive Inc	−6,304	6,834	$583,691
BGR	BlackRock Energy & Resources Trust	−5,850	38,005	$642,284
CGGR	Capital Group Growth ETF	−5,247	28,019	$1,328,941
A	Agilent Technologies, Inc.	−5,212	11,443	$1,971,743
IALT		−5,175	81,948	$2,446,967
HIX	Western Asset High Income Fund II Inc.	−5,000	11,000	$38,830
GGN	GAMCO Global Gold, Natural Resources & Income Trust	−5,000	120,705	$637,322
CNC	Centene Corp	−4,694	30,157	$1,873,352
NEE	Nextera Energy Inc	−4,523	9,560	$724,074
BOE	BlackRock Enhanced Global Dividend Trust	−4,500	13,250	$154,760
No positions match the current search.

New Positions

Positions the filer opened this quarter

25 positions

Ticker	Company	Shares	Value
IVV	iShares Core S&P 500 ETF	40,951	$31,362,323
IEFA	iShares Core MSCI EAFE ETF	197,292	$19,113,648
IUSB	iShares Core Universal USD Bond ETF	354,544	$15,631,844
AGG	iShares Core U.S. Aggregate Bond ETF	149,455	$14,129,475
V	Visa Inc.	29,400	$10,564,302
DBMF	iMGP DBI Managed Futures Strategy ETF	315,097	$10,250,105
PTLC	Pacer Trendpilot US Large Cap ETF	150,275	$8,942,865
IVW	iShares S&P 500 Growth ETF	52,505	$7,469,361
IWF	iShares Russell 1000 Growth ETF	57,871	$7,248,921
DGRO	iShares Core Dividend Growth ETF	93,592	$7,055,900
IVE	iShares S&P 500 Value ETF	27,940	$6,378,143
IWD	iShares Russell 1000 Value ETF	23,207	$5,753,711
LLY	ELI LILLY & Co	4,324	$5,003,213
PTNQ	Pacer Trendpilot 100 ETF	38,217	$3,408,574
GOVT	iShares U.S. Treasury Bond ETF	149,768	$3,275,426
TLH	iShares 10-20 Year Treasury Bond ETF	32,877	$3,030,273
ILCG	iShares Morningstar Growth ETF	24,682	$2,887,053
ILCV	iShares Morningstar Value ETF	26,586	$2,800,569
FLRT	Pacer Aristotle Pacific Floating Rate High Income ETF	59,759	$2,775,207
IWM	iShares Russell 2000 ETF	9,939	$2,761,948
XOM	ExxonMobil Holdings Corp	15,069	$2,452,479
IUSG	iShares Core S&P U.S. Growth ETF	12,605	$2,442,218
CB	Chubb Ltd	6,906	$2,246,176
USRT	iShares Core U.S. REIT ETF	36,046	$2,219,712
FALN	iShares Fallen Angels USD Bond ETF	83,736	$2,171,274
No positions match the current search.

Sold Out

Positions the filer fully exited

25 positions

Ticker	Company	Shares	Value
ALL	Allstate Corp	4,703	$1,119,031
CI	Cigna Group	3,760	$1,036,556
DB	Deutsche Bank Aktiengesellschaft	25,383	$856,930
DNOV	FT Vest U.S. Equity Deep Buffer ETF - November	16,323	$838,186
AEP	American Electric Power Co Inc	6,066	$829,889
AWK	American Water Works Company, Inc.	6,306	$829,743
TKO	TKO Group Holdings, Inc.	3,848	$774,640
CVS	CVS HEALTH Corp	7,412	$766,771
GCOR	Goldman Sachs Access U.S. Aggregate Bond ETF	17,915	$737,381
EXC	Exelon Corp	14,475	$674,824
XEL	Xcel Energy Inc	7,343	$589,642
COHR	Coherent Corp.	1,336	$527,011
CINF	Cincinnati Financial Corp	2,817	$521,539
AXON	Axon Enterprise, Inc.	908	$509,033
APP	AppLovin Corp	882	$454,432
ATO	Atmos Energy Corp	2,398	$413,103
RNR	Renaissancere Holdings Ltd	1,210	$383,449
IDXX	Idexx Laboratories Inc	637	$335,342
FCX	Freeport-Mcmoran Inc	4,167	$262,062
NSC	Norfolk Southern Corp	672	$211,404
ETO	Eaton Vance Tax-Advantaged Global Dividend Opportunities Fund	6,480	$200,037
GHI	Greystone Housing Impact Investors LP	25,126	$145,730
EHI	Western Asset Global High Income Fund Inc.	11,000	$65,560
RSP	Victory Portfolios II	50	$10,638
DEM	WisdomTree Emerging Markets High Dividend Fund	75	$4,034
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

508 tracked positions · $868,256,020 total · filing declares 511 positions · $943,741,032 · as of Sep 30, 2026

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 508 positions by value · page 1 of 11

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
VOO	VANGUARD 500 INDEX FUND	Reduced	75,657	-12,966	$53,024,965	−12.9%	6.11%
NVDA	Nvidia Corp Technology	Added	146,180	+11,075	$33,384,588	+23.5%	3.85%
IVV	iShares Core S&P 500 ETF	NEW	40,951	NEW	$31,362,323	NEW	3.61%
OMFL	Invesco Russell 1000 Dynamic Multifactor ETF	Added	438,612	+32,042	$30,575,642	+9.7%	3.52%
AAPL	Apple Inc. Technology	Added	74,435	+8,644	$24,788,343	+30.2%	2.85%
MSFT	Microsoft Corp Technology	Added	47,678	+3,557	$24,454,046	+48.6%	2.82%
IEFA	iShares Core MSCI EAFE ETF	NEW	197,292	NEW	$19,113,648	NEW	2.20%
AMZN	Amazon Com Inc Consumer Cyclical	Added	73,082	+8,653	$18,208,380	+18.6%	2.10%
IMFL	Invesco International Developed Dynamic Multifactor ETF	Added	520,347	+44,205	$17,389,996	+6.4%	2.00%
IUSB	iShares Core Universal USD Bond ETF	NEW	354,544	NEW	$15,631,844	NEW	1.80%
SPYG	State Street(R) SPDR(R) Portfolio S&P 500(R) Growth ETF	Added	118,822	+14,374	$14,624,611	+17.7%	1.68%
META	Meta Platforms, Inc. Communication Services	Added	19,825	+1,231	$14,376,693	+37.3%	1.66%
GOOGL	Alphabet Inc. Communication Services	Reduced	41,563	-445	$14,300,997	−4.7%	1.65%
AGG	iShares Core U.S. Aggregate Bond ETF	NEW	149,455	NEW	$14,129,475	NEW	1.63%
VEA	Vanguard FTSE Developed Markets ETF	Added	192,701	+2,688	$13,606,617	+0.5%	1.57%
VTEB	VANGUARD TAX-EXEMPT BOND INDEX FUND	Added	232,123	+8,745	$10,993,345	−2.7%	1.27%
V	Visa Inc. Financial Services	NEW	29,400	NEW	$10,564,302	NEW	1.22%
DBMF	iMGP DBI Managed Futures Strategy ETF	NEW	315,097	NEW	$10,250,105	NEW	1.18%
GTO	Invesco Total Return Bond ETF	Added	228,149	+10,386	$10,173,163	−0.3%	1.17%
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	Added	51,798	+2,486	$10,139,458	+7.9%	1.17%
PTLC	Pacer Trendpilot US Large Cap ETF	NEW	150,275	NEW	$8,942,865	NEW	1.03%
GOVI	Invesco Equal Weight 0-30 Year Treasury ETF	Added	341,714	+15,738	$8,631,695	−2.5%	0.99%
AVGO	Broadcom Inc. Technology	Added	22,191	+1,561	$7,793,257	+0.0%	0.90%
VCIT	VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX FUND	Added	98,272	+972	$7,695,680	−4.3%	0.89%
GOOG	Alphabet Inc. Communication Services	Added	22,282	+5,573	$7,592,368	+28.6%	0.87%
IVW	iShares S&P 500 Growth ETF	NEW	52,505	NEW	$7,469,361	NEW	0.86%
DYNF	iShares U.S. Equity Factor Rotation Active ETF	Reduced	107,481	-2,196	$7,444,134	−0.2%	0.86%
BRK-B	Berkshire Hathaway Inc Financial Services	Reduced	14,751	-509	$7,345,260	−3.8%	0.85%
IWF	iShares Russell 1000 Growth ETF	NEW	57,871	NEW	$7,248,921	NEW	0.83%
DGRO	iShares Core Dividend Growth ETF	NEW	93,592	NEW	$7,055,900	NEW	0.81%
JMEE	JPMorgan Small & Mid Cap Enhanced Equity ETF	Added	87,987	+9,105	$6,474,083	+5.2%	0.75%
IVE	iShares S&P 500 Value ETF	NEW	27,940	NEW	$6,378,143	NEW	0.73%
SCHC	Schwab International Small-Cap Equity ETF	Added	124,153	+9,633	$6,175,370	+12.1%	0.71%
TSLA	Tesla, Inc. Consumer Cyclical	Added	17,101	+510	$6,067,605	−13.0%	0.70%
IWD	iShares Russell 1000 Value ETF	NEW	23,207	NEW	$5,753,711	NEW	0.66%
JPM	Jpmorgan Chase & Co Financial Services	Added	16,899	+844	$5,590,696	+6.4%	0.64%
USFR	WisdomTree Floating Rate Treasury Fund	Added	102,615	+655	$5,170,769	+0.7%	0.60%
PANW	Palo Alto Networks Inc Technology	Added	12,789	+1,347	$5,081,197	+30.2%	0.59%
LLY	ELI LILLY & Co Healthcare	NEW	4,324	NEW	$5,003,213	NEW	0.58%
MU	Micron Technology Inc Technology	Added	4,584	+1,472	$4,882,464	+35.9%	0.56%
JMST	JPMorgan Ultra-Short Municipal Income ETF	Added	94,576	+4,095	$4,781,762	+3.6%	0.55%
ICLO		Added	165,980	+7,255	$4,247,428	+4.6%	0.49%
PZA	Invesco National AMT-Free Municipal Bond ETF	Added	186,431	+6,625	$3,987,759	−5.7%	0.46%
UNP	Union Pacific Corp Industrials	Reduced	14,538	-254	$3,956,225	−1.7%	0.46%
BAI	BlackRock ETF Trust	Added	82,689	+5,566	$3,902,093	−4.0%	0.45%
FMHI	First Trust Municipal High Income ETF	Reduced	83,655	-7	$3,751,926	−7.5%	0.43%
IROC	Invesco Rochester High Yield Municipal ETF	Added	77,618	+5,492	$3,717,902	+0.5%	0.43%
AMD	Advanced Micro Devices Inc Technology	Added	5,882	+992	$3,598,372	+26.7%	0.41%
CGDV	Capital Group Dividend Value ETF	Reduced	73,526	-700	$3,591,745	−1.8%	0.41%
MBB	iShares MBS ETF	Added	39,875	+763	$3,573,597	−3.3%	0.41%

Showing the top 50 of 508 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.