ASHTON THOMAS PRIVATE WEALTH, LLC of SCOTTSDALE, AZ is an SEC-registered investment adviser (CRD 153902). Regulatory assets under management: $6.0B.
Compensation: % of AUM, Hourly.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Other.
| Name | Role | Location |
|---|---|---|
| Aaron Paul Brodt | CEO | — |
| Heidi Maria Brodt | BUSINESS MANAGER | — |
| David T Hatfield | CHIEF TECHNOLOGY OFFICER | — |
| Erica Bloudek | COO | — |
| Cynthia-Elaine Leal Schlanger | CHIEF COMPLIANCE OFFICER | — |
| Drinan J Gorney | CHIEF ADMINISTRATIVE OFFICER AND GENERAL COUNSEL | — |
| WHITE AMANDA ELIZABETH | CHIEF COMPLIANCE OFFICER | — |
| HALVOSA JAMES JEFFREY | CHIEF COMPLIANCE OFFICER | — |
| FOLEY PATRICK MICHAEL | CHIEF OPERATING OFFICER | — |
| BRODT AARON PAUL | CEO; INTERIM CCO; MANAGING MEMBER (+1 more) | — |
| BOWMAN CHRISTOPHER JOHN | MANAGING MEMBER; PRINCIPAL | — |
| LEBLANG ERICA MARIE | CHIEF COMPLIANCE OFFICER | — |
| MENTIS WILLIAM SPIRO | MANAGING MEMBER; PRINCIPAL | — |
| ESCHE JAY ELWOOD | CCO | — |
| GARCIA PEGGY JOLEN | CHIEF COMPLIANCE OFFICER; DIRECTOR OF INVESTMENT OPERATIONS | — |
| Brodt Heidi Maria | BUSINESS MANAGER; CHIEF OPERATING OFFICER | — |
| HATFIELD DAVID T | CHIEF TECHNOLOGY OFFICER | — |
| Bloudek Erica | COO | — |
| David T. Hatfield | CHIEF TECHNOLOGY OFFICER | — |
| Drinan J. Gorney | CHIEF ADMINISTRATIVE OFFICER AND GENERAL COUNSEL | — |
| Zbynek Kozelsky | CHIEF OPERATIONS OFFICER | — |
| Kevin Kading | CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-08-09 | regulatory | ON AUGUST 9, 2024, ASHTON THOMAS WAS SUBJECT TO DISCIPLINARY ACTION BY THE SECURITIES AND EXCHANGE COMMISSION ("SEC) RELATED TO UNTIMELY FILING OF THE 13(F) REPORT AS MANDATED BY THE EXCHANGE ACT AND RULE 13F-1. THE DISCIPLINARY ACTION WAS BASED ON THE ALLEGATION THAT ASHTON THOMAS VIOLATED RULE 13F… | Final | $375K |