What Ashton Thomas Private Wealth does

Ashton Thomas Private Wealth is an SEC-registered investment adviser headquartered in Scottsdale, Arizona, founded in 2004 by Aaron Brodt. The firm delivers comprehensive wealth management — wealth planning, asset management, tax, estate and trust, philanthropy, family office, business succession, concierge banking, and institutional advisory services — to high-net-worth and ultra-high-net-worth individuals, families, foundations, endowments, and retirement plans. It operates a captive broker-dealer, Ashton Thomas Securities LLC (FINRA/SIPC-registered), which provides transaction-based execution and corporate-services support alongside the advisory business. The firm reports approximately $10B in assets under management and operates twelve offices across seven states, with a 51–100 employee headcount range.

The underlying technology stack is anchored by Amplify Technology, a proprietary fintech platform co-founded by CEO Aaron Brodt that the firm markets as an 'RIA Operating System' for its own advisors — handling portfolio reporting, compliance, and client-management workflows. Investment capability is centralized under a Chief Investment Officer following the Day Hagan Asset Management acquisition, which added a Tactical SMA / Ned Davis Research-aligned model-driven offering. The firm also holds a strategically valuable intangible: a multi-decade client-retention record (>95% through prior M&A transitions) and external third-party validation (USA Today #7 of 500, 2025; Newsweek 5-Star, 2025 and 2026; Citywire Future 50).

The business model is a hybrid of recurring AUM-based advisory fees and transaction fees through the broker-dealer. Distribution is direct-to-client via local offices and advisor relationships, with growth driven primarily by recruiting experienced advisor teams and acquiring complementary RIAs. Capital backing from Arax Investment Partners funds the M&A and recruiting engine. The plan/family-office layer creates cross-sell depth per HNW household, while the institutional practice diversifies revenue away from any single client segment. No AI/ML capabilities are disclosed; Amplify is operational technology rather than an AI system.

Name

Ashton Thomas Private Wealth

Legal name

Ashton Thomas Private Wealth, LLC

Website

https://ashtonthomaspw.com

Company type

Private

Founded year

2004

Operating status

Operating

Headcount range

51–100 employees

Short description

Ashton Thomas Private Wealth is an SEC-registered RIA and FINRA broker-dealer providing wealth planning, asset management, tax, estate, and family office services to HNW/UHNW individuals, families, and institutions across 12 offices in 7 states, with ~$10B AUM and a proprietary Amplify Technology operating platform.

Ownership category

akta.pro rank

Product category

Wealth Management

NAICS

Portfolio Management and Investment Advice (523940)

SIC

Investment Advice (6282)

akta.pro primary industry

Comprehensive/Full-Service RIAs & Independent Wealth Managers (FSAAACAA)

akta.pro secondary industries

Financial Planning–Led RIAs (FSAAACAB), Family Wealth & Multi-Generational Planning RIAs (HNW/UHNW-lite) (FSAAACAH), Retirement & Distribution Planning RIAs (401(k)/IRA/Pension Rollovers) (FSAAACAE)

Keywords

• Wealth management services
• Investment advisory
• Private wealth solutions
• Financial planning services
• Asset management firm

Headquarters

HQ city

Scottsdale

HQ country

United States

HQ region

North America

Offices21 records

Markets served

GTM type

B2B and B2C

Offering type

Services

Cost components

Personnel, Operations, Technology or R&D, Marketing or Sales, Infrastructure

Revenue model

1. Investment Advisory Services: SEC-registered investment advisor providing comprehensive wealth management services. Revenue generated through asset-based advisory fees on assets under management (AUM). Services include wealth planning, asset management, tax services, estate and trust solutions, philanthropy advisory, family office services, and business succession planning.
2. Securities Trading and Brokerage: Ashton Thomas Securities LLC, a registered broker-dealer and member of FINRA/SIPC, offers securities brokerage services. Provides access to various investment products including equities, fixed income, ETFs, alternative investments, variable insurance products, and private placements.

Pricing tiers

Go-to-market motion3 records

Distribution channels3 records

Marketing channels5 records

Core offering

Ashton Thomas Private Wealth is an SEC-registered investment advisor (RIA) delivering comprehensive wealth management for affluent individuals, families, and institutional clients. Services span wealth planning, asset management, tax services, estate and trust planning, philanthropy, family office, business succession, and banking solutions, supplemented by an affiliated broker-dealer (Ashton Thomas Securities, LLC) for securities transactions and alternative investments.

Product overview

Ashton Thomas Private Wealth operates as a unified wealth management platform offering comprehensive advisory services through multiple integrated service lines. The core offering consists of Wealth Planning, Asset Management, Tax Services, Estate and Trust, Philanthropy, Family Office, Business Succession, and Banking Solutions for private clients, alongside Institutional Asset Management, Foundations and Endowments, and Retirement Plans for institutional clients. The firm's securities-related services are delivered through its broker-dealer subsidiary Ashton Thomas Securities, which provides access to private placements, REITs, 1031 exchanges, variable products, and direct mutual funds. The platform has expanded through strategic acquisitions including Day Hagan Asset Management and Private Wealth (October 2025) and Pinnacle Peak Private Wealth Team (March 2026), adding specialized investment strategies and expanding regional presence.

Differentiator

Problem solved

Functional benefit

Brands

• Women and Wealth: A specialized service focused on helping female investors navigate financial planning through empowerment and inclusion.
• Day Hagan Investment and Research Team

Products and services

• Wealth Planning
• Asset Management
• Tax Services
• Estate and Trust Solutions
• Philanthropy Advisory
• Family Office Services
• Business Succession Planning
• Banking Solutions
• Institutional Asset Management
• Foundations and Endowments
• Retirement Plans
• Ashton Thomas Securities (Broker-Dealer Services)
• Insurance Solutions
• Women and Wealth
• Day Hagan Asset Management
• Day Hagan Private Wealth
• Pinnacle Peak Private Wealth Team

Quantifiable outcome

• Ranked #7 out of 500 firms on USA Today's 2025 Best Financial Advisory Firms list, #2 nationally in AUM subcategory
• +2 more outcomes

Named customers8 records

Segments5 records

Ideal customer profiles5 records

Technology focussed Yes

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Feature1 record

Partnerships

Four partnerships are on record, tiered core.

• Pinnacle Peak Private Client GroupcoreStrategic or Co-development Partner · 5 March 2026Pinnacle Peak Private Client Group, a Scottsdale-based RIA with $460 million in AUM, has joined Ashton Thomas Private Wealth. The addition brings six experienced advisors, expanding the firm's footprint in the Southwest while providing clients access to broader resources and services through the Arax platform. The team operates under the name Pinnacle Peak Private Wealth Team within Ashton Thomas.
• Collin Rigler and Eric MontijocoreStrategic or Co-development Partner · 4 February 2026Collin Rigler joined as Managing Director, Partner and Private Wealth Advisor, along with colleague Eric Montijo as Director, Private Wealth Advisor. Rigler brings over three decades of experience and previously managed $200 million in client assets at Alex. Brown, a division of Raymond James & Associates. The hires reinforce Ashton Thomas's growth strategy in the Southwest and West Coast markets.
• Day HagancoreStrategic or Co-development Partner · 1 October 2025Ashton Thomas acquired Day Hagan, a Sarasota-based wealth and asset management company comprising Day Hagan Asset Management and Day Hagan Private Wealth. As part of the transaction, Don Hagan, Co-Founder of Day Hagan, joined Ashton Thomas as Chief Investment Officer, bringing model-driven investment strategies and market commentary to the firm. The deal builds on more than a decade of collaboration between the two firms.
• Amplify TechnologycoreTechnology or IntegrationAmplify Technology is a fintech platform co-founded by Aaron Brodt (Ashton Thomas Founder and CEO). Amplify provides RIA Operating System (ROS) solutions to wealth management firms including Ashton Thomas. The platform powers advisor workflows, client portal access, and operational infrastructure.

Scale indicators4 records

Recent moves9 records

Expansion highlights6 records

Broad incumbents

• Focus Financial Partners: Large public RIA aggregator that partners with independent wealth management firms, providing capital, technology, and operational support — the closest analog to Ashton Thomas's aggregator model, though at materially greater scale.
• Cetera Financial Group: Large broker-dealer and RIA support platform serving independent advisors and firms, offering compliance, technology, and back-office infrastructure analogous to what Ashton Thomas provides to its affiliated advisors.
• LPL Financial: Largest independent broker-dealer in the U.S., providing custodial, compliance, and technology infrastructure to thousands of independent advisors — a competitive platform for breakaway advisors whom Ashton Thomas also targets.
• Kestra Financial: Independent wealth management platform backed by Stone Point Capital, offering advisor transition support, technology, and compliance infrastructure to a network of independent advisors and firms.
• Edelman Financial Engines: Large national RIA providing comprehensive wealth planning, investment management, and retirement distribution services to mass-affluent and HNW clients through advisor and digital channels.

Direct peers

• Wealth Enhancement Group: Private-equity-backed RIA aggregator acquiring independent wealth management firms across the U.S., mirroring Ashton Thomas's acquisition and advisor-recruitment strategy in a comparable AUM range.
• Sanctuary Wealth: Independent wealth management platform that partners with and acquires high-producing advisor teams from wirehouses, with a comparable multi-office, multi-state footprint and similar advisor-transition focus.
• Mariner Wealth Advisors: National independent RIA offering comprehensive wealth advisory, tax, estate, and family office services through multiple offices — directly comparable in service breadth and HNW client focus.
• CAPTRUST: Large independent RIA with strong institutional and private wealth practices, providing investment advisory, financial planning, and retirement plan services — closely aligned with Ashton Thomas's institutional and HNW offerings.
• Merit Financial Advisors: Fast-growing RIA aggregator building a national footprint through advisor recruitment and acquisitions, with comparable AUM scale and a similar focus on providing advisors autonomy plus platform support.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat4 records

Key risks6 records

Key highlights6 records

Customer concentration

• Xx.com/AshtonThomasPW
• Facebookfacebook.com/AshtonThomasPrivateWealth
• LinkedInlinkedin.com/company/ashton-thomas-private-wealth
• Instagraminstagram.com/ashtonthomaspw

Compliance2 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles11 records

Subsidiaries7 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A2 records

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Ashton Thomas Private Wealth