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RIA / WealthAdvisorCertified Financial Planner16 years in industry

RICHARD THOMAS WESTHELLE

Advisor at ASHTON THOMAS PRIVATE WEALTH

New York, NY | Monticello, AR | SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:bffdfaf4-2d6f-41c6-b4b5-ed81ac2fa85f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Jan 15, 2010 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ASHTON THOMAS PRIVATE WEALTH
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 14, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Jan 14, 2010
First registration: Jan 15, 2010
Dual registered: no
Other names: RICHARD WESTHELLE
IAPD individual key: 5741905

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ASHTON THOMAS PRIVATE WEALTH	Independent wealth	Aug 8, 2024	n/a	yes	New York, NY\|Monticello, AR\|SCOTTSDALE, AZ	Current employment
ASHTON THOMAS ADVISORS LLC	Former SEC adviser	Aug 8, 2024	Dec 31, 2024	no	Monticello, AR\|New York, NY\|SCOTTSDALE, AZ	Previous registration
ADVISORS CAPITAL MANAGEMENT, LLC	Independent wealth	Jul 1, 2022	Aug 9, 2024	no	RIDGEWOOD, NJ\|Monticello, AR	Previous registration
UNITED CAPITAL FINANCIAL ADVISORS	Independent wealth	May 3, 2012	Jul 28, 2022	no	PARAMUS, NJ\|RIDGEWOOD, NJ\|MONTICELLO, AR\|MONTICELLO, AR\|MONTICELLO, AR\|MONTICELLO, AR	Previous registration
STONEGATE WEALTH MANAGEMENT, LLC	Former SEC adviser	Jan 15, 2010	Apr 27, 2012	no	n/a	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ASHTON THOMAS ADVISORS LLC	ASHTON THOMAS PRIVATE WEALTH	Dec 31, 2024	Aug 8, 2024	-145	Firm change after gap	Other
ADVISORS CAPITAL MANAGEMENT, LLC	ASHTON THOMAS ADVISORS LLC	Aug 9, 2024	Aug 8, 2024	-1	Firm change	RIA to new firm
UNITED CAPITAL FINANCIAL ADVISORS	ADVISORS CAPITAL MANAGEMENT, LLC	Jul 28, 2022	Jul 1, 2022	-27	Firm change	Ibd to RIA
STONEGATE WEALTH MANAGEMENT, LLC	UNITED CAPITAL FINANCIAL ADVISORS	Apr 27, 2012	May 3, 2012	6	Firm change	Other

Relationships

Registered with (5)

→ ASHTON THOMAS PRIVATE WEALTHRegistered adviserregistration: current employment
Aug 8, 2024 to presentfactForm ADV
→ ASHTON THOMAS ADVISORS LLCRegistered adviserregistration: previous registration
Aug 8, 2024 to Dec 31, 2024factForm ADV
→ ADVISORS CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 1, 2022 to Aug 9, 2024factForm ADV
→ UNITED CAPITAL FINANCIAL ADVISORSRegistered adviserregistration: previous registration
May 3, 2012 to Jul 28, 2022factForm ADV
→ STONEGATE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 15, 2010 to Apr 27, 2012factForm ADV

Dated events

Occurred
Dec 31, 2024
Advisor changed firm
Richard Thomas Westhelle left Ashton Thomas Advisors Llc for Ashton Thomas Private Wealth (registered 2024-08-08)
Form ADVobserved 3 days ago
Occurred
Aug 9, 2024
Advisor changed firm
Richard Thomas Westhelle left Advisors Capital Management, Llc for Ashton Thomas Advisors Llc (registered 2024-08-08)
Form ADVobserved 3 days ago
Occurred
Jul 28, 2022
Advisor changed firm
Richard Thomas Westhelle left United Capital Financial Advisors for Advisors Capital Management, Llc (registered 2022-07-01)
Form ADVobserved 3 days ago