DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Advisor moves
Arrivals at Ashton Thomas Securities, LLC
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Eric David Montijo | Raymond James & Associates, Inc. national BD | Ashton Thomas Securities, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 4, 2026 | Feb 3, 2026 |
| Ross B Fronk | Realta Investment Advisors, Inc BD affiliated | Ashton Thomas Securities, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 24, 2024 | Nov 5, 2024 |
| Aileen F Defroda | Realta Investment Advisors, Inc BD affiliated | Ashton Thomas Securities, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 2, 2024 | Oct 21, 2024 |
| Randall Derrick Lee | Morgan Stanley wirehouse | Ashton Thomas Securities, LLC independent RIA | Wirehouse to independent RIA | Sep 26, 2024 | Oct 8, 2024 |
| Jamie Thomas Fisher | Wells Fargo Advisors wirehouse | Ashton Thomas Securities, LLC independent RIA | Wirehouse to independent RIA | Jun 13, 2024 | Jun 6, 2024 |
| Jody Ann Swapp | Wells Fargo Advisors wirehouse | Ashton Thomas Securities, LLC independent RIA | Wirehouse to independent RIA | Jun 13, 2024 | Jun 6, 2024 |
| Jennifer Lynne Beals | Charles Schwab & Co., Inc. national BD | Ashton Thomas Securities, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 9, 2024 | Oct 15, 2024 (249 d) |
| Ines Seferi Kasdorf | Raymond James & Associates, Inc. national BD | Ashton Thomas Securities, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 18, 2024 | Jan 11, 2024 |
| Zbynek Kozelsky | Deutsche Bank Securities Inc. mixed wealth | Ashton Thomas Securities, LLC independent RIA | RIA to RIA | Jun 8, 2023 | Apr 23, 2025 (685 d) |
| Brandon J Cromer | Charles Schwab Investment Management, Inc other | Ashton Thomas Securities, LLC independent RIA | Other | Oct 19, 2022 | Oct 23, 2024 (735 d) |
| Gerald Haig Ariyan | Raymond James & Associates, Inc. national BD | Ashton Thomas Securities, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 1, 2022 | Apr 23, 2024 (600 d) |
| Michael Patrick Davis | Manulife Investment Management (US) LLC other | Ashton Thomas Securities, LLC independent RIA | Other | Jul 20, 2015 | Jul 1, 2024 (3269 d) |
| Phillip A Yargeau | Ensemble Financial Services, Inc. unclassified | Ashton Thomas Securities, LLC independent RIA | Other | Jun 30, 2011 | Oct 18, 2021 (3763 d) |
| Peter Daniel Sartori | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Ashton Thomas Securities, LLC independent RIA | Wirehouse to independent RIA | Jul 2, 2009 | Aug 25, 2021 (4437 d) |
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14 moves match.