DB

Daniel Stephen Bauers

17 Years of Experience

Firm Information

Compensation
Fee-Only (AUM)
Number of Advisors
54 advisors
Number of Clients
2,599 clients
Average Client Portfolio
$661K average
Assets Under Management
$1.7B

Fee Structure

Hourly Rate:$150 - $1,000/hr

Ashton Thomas charges an annual fee based on a percentage of assets under management for investment advisory services. These fees may include financial planning and consulting services if requested. Stand-alone financial planning and consulting fees range from $150 to $1,000 per hour, depending on the service and professional involved. Clients in wrap fee programs may encounter additional non-billed expenses from mutual funds and ETFs. There is no mention of a minimum AUM fee or minimum investment amount.

Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningInsurance Planning
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Advisor Information

Office location

200 Canal View Blvd., Ste. 204, Rochester, NY, 14623

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Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Ashton Thomas Private Wealth
March 2024 - Present · 1 yr 10 mos
Ashton Thomas Securities, LLC Broker
March 2024 - Present · 1 yr 10 mos
Ashton Thomas Securities, LLC
March 2024 - Present · 1 yr 10 mos
Previous Registrations
Raymond James & Associates, INC. Broker
September 2016 - March 2024 · 7 yrs 6 mos
Raymond James & Associates, INC.
September 2016 - March 2024 · 7 yrs 6 mos
Deutsche Bank Securities INC.
November 2008 - September 2016 · 7 yrs 10 mos
Deutsche Bank Securities INC. Broker
September 2008 - September 2016 · 8 yrs
Lehman Brothers INC.Broker
February 2008 - September 2008 · 7 mos
State Registrations38 states
ARAZCACOCTDCDEFLGAILINKSMAMDMEMIMNMOMTNENHNJNVNYOHPAPRRISCTNTXUTVAVTVirgin IslandsWAWIWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Daniel Stephen Bauers - Financial Advisor | AdvisorDiscover