Our Team - Ashton Thomas

Office: Scottsdale Headquarters

Direct Phone: 602.732.4745

Fax: 602.734.5495

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Aaron Brodt

CIMA® | Founder and Chief Executive Officer

Aaron founded Ashton Thomas Private Wealth with a vision for building a new kind of financial services company: a firm with a client-centric, values-based culture that serves successful advisors and their clients.

Under his leadership, Ashton Thomas has grown into an award-winning* registered investment adviser (RIA) firm with twelve offices in seven states. Aaron is passionate about seeing the firm’s CREDO—community, respect, excellence, discipline, opportunity—lived out through each of the services and solutions Ashton Thomas provides to advisors and their clients.

Prior to founding Ashton Thomas, Aaron was a financial advisor and portfolio manager for a multifamily office. He began his career as an oil trader for Tosco, now part of ConocoPhillips. Aaron is a graduate of New Mexico State University, where he played NCAA collegiate basketball for the Aggies.

He obtained the designation of Certified Investment Management Analyst (CIMA®), administered by Investments & Wealth Institute® and taught in conjunction with the Wharton School at the University of Pennsylvania. Aaron is also co-founder of fintech platform, Amplify Technology, which provides RIA Operating System (ROS) solutions to wealth management firms like Ashton Thomas.

Aaron and Heidi Brodt and their two sons reside in Scottsdale, Arizona. He enjoys coaching his boys in basketball, spending time with family, and giving back to the communities served by Ashton Thomas.

*USA Today/Statista Best Financial Advisory Firms 2023; Citywire Future 50; Citywire 50 Growers Across America 2021; Citywire 50 Growers Across America 2022

Office: Bozeman, MT

Email: [email protected]

Direct Phone: 406.302.5700

Abby Skeen

Tax Operations and Administrative Specialist

Abby’s journey from the classrooms of Tennessee to her current role as Tax Operations and Administrative Specialist at Ashton Thomas reflects a commitment to both personal growth and professional excellence.

“What I enjoy most is the chance to apply my diverse background in a new context,” she says. “I'm excited to leverage my experience to provide exceptional client experiences and build strong, lasting relationships.”

Originally from Lebanon, Tennessee – a small town east of Nashville – Abby moved to Murfreesboro, Tennessee, to attend college, where she earned her Bachelor of Science in interdisciplinary studies K-6 from Middle Tennessee State University in 2016. She then relocated to Chattanooga for three years before finding her current home in Bozeman, Montana, in 2021.

Following her passion for education, Abby spent the first five years of her career teaching kindergarten and first grade. While she cherished her time in the classroom, she sought a profession that offered a more sustainable work-life balance, leading her to transition into a new field.

Abby found that new path through a construction company, where she honed her skills in project management by overseeing more than 30 projects simultaneously, optimizing team efficiency, and ensuring clear communication with clients and stakeholders. Abby’s leadership and adaptability soon earned her a promotion to head the company’s HR department, where she was instrumental in developing comprehensive training programs, establishing new policies, and building the position from the ground up.

Now at Ashton Thomas, Abby is eager to apply her diverse background in tax operations and administration to helping clients and collaborating with colleagues on our growing tax team.

Outside of work, Abby enjoys immersing herself in the outdoors, whether it’s fishing, camping, or simply walking with her mini goldendoodle, Tucker. She also has a passion for reading and writing, and treasures the time spent with her friends and family.

Email: [email protected]

Direct Phone: 602.732.4745

Fax: 602.734.5495

Amber Lamb

Senior Associate, Marketing and Communications

Joining the Ashton Thomas team in 2024, Amber brings nearly a decade of marketing experience to this growing national team. Her diverse experience spans industries like executive recruiting, media, sports, and entertainment. Her career is marked by a commitment to blending strategic business goals with innovative storytelling to craft compelling narratives that resonate with audiences and drive impactful results.

Amber is an Arizona native, who grew up in the picturesque small wine town of Cottonwood, where she was surrounded by a large, supportive family. There, she was active in both academic and community organizations supporting early childhood development, student workforce development, the arts, and sports programs. Later, her academic journey took her to Flagstaff where she attended Northern Arizona University and graduated Magna Cum Laude in the spring of 2018. She holds a Bachelor of Science in Strategic Communication, with emphasis in Advertising, and minors in Criminology and Criminal Justice, as well as International Communication. Her exceptional academic performance was recognized through the Dean’s List Award each semester, reflecting her dedication and academic prowess.

During her college career, Amber participated in a study abroad program with the University of New York in Prague. While there, she earned credits toward her International Communication minor, participated in multi-national marketing initiatives, and explored over 10 countries. This experience broadened her perspective, enriched both her professional and personal life, and continues to inform her innovative approach to marketing and communications.

Outside of her professional life, Amber is an avid concertgoer with a lifetime attendance of over 100 concerts, reflecting her deep appreciation for music. She is also actively involved in her community through extensive volunteer work, demonstrating her commitment to giving back and supporting the next generation.

Amber’s passion for her work is fueled by her ability to find the intersection of business and creativity. She thrives on developing narratives that not only meet strategic goals but also captivate and connect with people on a personal level.

Office: Denver, CO

Email: [email protected]

Fax: 602.734.5495

Amy Kane

CFP® Professional, CPA, CTFA, CDFA® | Senior Director, Head of Wealth Planning

Amy joined Ashton Thomas in 2022 as Director of Advanced Planning. As part of the Advanced Planning team, she focuses on complex estate and trust situations, tax planning strategies, and related wealth planning solutions for clients of the firm and their advisors.

Amy has been committed to maintaining a high level of professional acumen throughout her career. She became a Certified Public Accountant (CPA) in 2003. Amy added the CERTIFIED FINANCIAL PLANNER®, CFP® designation, granted by the CFP Board of Standards, to her list of professional credentials in 2005. She also became a Certified Trust and Fiduciary Advisor (CTFA) in 2007 and a Certified Divorce Financial Analyst® (CDFA®) in 2017.

“Some people try to fit wealth planning into a box,” says Amy. “I don’t take that approach. While the technical aspects are important, planning is an ongoing conversation with a client. It’s a dialogue, not a document.”

Amy’s financial services career has spanned more than two decades in the Chicago and Denver areas. Most recently, she was Director in Baird’s Wealth Strategies Group. Prior to that, she was a Senior Wealth Planning Strategist for Wells Fargo and U.S. Bank in the Denver area, and an Executive Director with JPMorgan Private Bank in Chicago. In these roles, she worked directly with high-net-worth and family office clients of the firms on multifaceted planning solutions. Earlier in her career, she was a Senior Tax Consultant with Deloitte in Chicago. She interned for Arthur Andersen while in college and became a full-time Tax Consultant after graduation, focusing on middle market business, family office, and hedge fund tax clients.

Amy hails from the Chicago suburbs of northwestern Indiana. She is an alumnus of Indiana University, where she attended the Kelley School of Business. Majoring in both Accounting and Finance, Amy graduated with a Bachelor of Science degree in 2000.

“Because I grew up in a community where family was so important, I endeavor to treat each client like they are my grandparents,” Amy states. “I’m also naturally curious, so I really enjoy the get-to-know aspect of planning for clients. Preserving tangible wealth is important, but so are the intangibles like family values, history, and culture. These things can really tie a family together. It’s such an important aspect of what I do.”

Amy is a committed member of the Denver metro professional community, having been active with the Mile High United Way’s Women United Business Alliance for seven years.

“We’re just delighted to have a credentialed planning professional of Amy’s caliber as part of the Ashton Thomas family,” says Ashton Thomas Founder and CEO, Aaron Brodt. “She brings valuable experience and perspective to an already talented Advanced Planning team. Our advisors really have a deep financial planning bench available to serve the complex needs of their private wealth clients.”

Amy and her husband, Mike, reside in the Denver area with their two daughters, Mary and Lucy. They enjoy family trips to interesting and educational destinations. Amy and Mike enjoy golf and collecting photographic art. Amy is also an avid reader who enjoys comedy and a good podcast.

Securities are offered through Ashton Thomas Securities, LLC, a registered broker/dealer and Member of FINRA/SIPC.

Office: Grand Junction, CO

Email: [email protected]

Direct Phone: 970.307.7328

Fax: 602.734.5495

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Angela Johnson

Managing Wealth Advisor

As Managing Wealth Advisor, Angela leads the Confluence Private Wealth Team in providing hands-on, attentive service and personalized wealth management solutions to the people of Western Colorado.

Angela has diligently served clients throughout the Grand Valley for her entire career in financial services. Prior to joining Ashton Thomas, she was an advisor with WealthSource. Previously, Angela served as Vice President and Private Banker with Timberline Bank. She began her career with Wells Fargo, and her last role with that organization was also as a Private Banker in Grand Junction.

“The needs of the client come first,” states Angela. “This aspect of our business has always been non-negotiable to me. Helping our clients discover their unique goals is the hallmark of our wealth advisory practice.”

Angela earned a Bachelor of Business Administration from Colorado Mesa University where she majored in Finance. She also successfully completed the Grand Junction Chamber of Commerce Leadership Program.

Angela currently serves on the Board of Directors for Riverside Education Centers and the Colorado Northwestern Community College Foundation. Previously, she served on the board of the Mesa Monument Striders. Angela has also volunteered for the United Way Allocation Panel and Habitat for Humanity Women’s Build, and she served as a leader for the Grand Valley Youth Cycling Ride.

A Colorado native who enjoys the rugged natural beauty of the Centennial State, Angela and her husband, Brian, enjoy taking in all the Western Slope has to offer. The two can often be found hiking and kayaking with their yellow Labrador Retriever, Regina. Angela also enjoys downhill cycling and has helped build and maintain trails throughout the Grand Valley region.

Visit our team page at www.ashtonthomaspw.com/confluenceteam

Office: Denver, CO

Email: [email protected]

Direct Phone: 602.732.4745

Fax: 602.734.5495

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April Horace

Wealth Advisor

April Horace joined Ashton Thomas in 2019 as a Senior Wealth Manager. Prior to joining the firm, she had an extensive career in financial and fiduciary services. “Protecting the public shareholder, being transparent and putting clients first is what I know,” says April.

Upon graduating from the University of Colorado, Boulder, April joined KPMG as an auditor, rising to the role of Audit Manager. Following her stint in public accounting, she joined the Securities and Exchange Commission (SEC), analyzing initial public offerings and financial statements of publicly traded companies. “Protecting the public shareholder has always been at the heart of what I do,” says April.

During the 1990s, April built an impressive career in the cable telecom industry with TCI. She worked her way to the role of Vice President of Business Affairs, presenting financial and market data to the executive team and board of directors. When AT&T acquired TCI in 1999, she pivoted to a market-related role. April joined Janco Partners, a regional investment firm, as a sell-side equity analyst covering the cable and satellite industries. “I knew a lot about the cable industry and technologies in this space,” says April. “The challenge was learning about the stock market.” During her time with Janco, she made several appearances on CNBC and ABC, and was also quoted by the Wall Street Journal, Bloomberg and Reuters.

In the wake of the financial crisis of 2008 and 2009, April decided to capitalize on her institutional understanding of the market and work with high-net-worth individuals as a wealth manager. Her father, a successful business owner in the Chicago and Santa Fe metro areas, had a lasting impact on her approach to business. Starting her own advisory practice was daunting, but it was also familiar territory for April.

“I love translating complex financial concepts into simple ideas people can understand,” says April. Today, she focuses on working with corporate executives and senior management, particularly in the cable telecom industry. She is a member of the National Association of Stock Plan Professionals (NASPP), where she keeps track of the latest thinking in the executive compensation field. April also enjoys working with successful entrepreneurs like her father. “I really enjoy learning about people and what interests them,” she says.

As an unintentional pioneer of diversity in the workplace, April continues her commitment to helping women become financially independent. She is a volunteer financial coach for Women in Cable Telecommunications (WICT) and a supporter of workplace diversity.

Personally, April enjoys sailing and traveling abroad. She is a resident of the Denver metropolitan area and is involved in various civic and industry organizations.

Office: Bozeman, MT

Email: [email protected]

Direct Phone: 406.551.1500

Fax: 602.734.5495

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Becca Dammann

CFP® Professional, AIF® | Senior Wealth Advisor

Rebecca “Becca” Dammann joined Ashton Thomas Private Wealth as a Senior Wealth Advisor in 2019. She is part of the Bozeman, Montana, office where she serves affluent clients with Managing Wealth Advisor, Bratton DuBose, CERTIFIED FINANCIAL PLANNER®.

Becca started her career at D.A. Davidson as a Client Associate in 2011, working alongside Bratton, who was already part of the firm. In 2016, she moved to Wells Fargo Advisors to rejoin Bratton’s practice, as he had departed D.A. Davidson a few years earlier. While at Wells Fargo Advisors, she transitioned into a Financial Advisor role alongside Bratton. Today, Becca and Bratton are focused on helping clients achieve their financial and lifestyle goals through their Bozeman-based practice at Ashton Thomas.

“We have a great dynamic and enjoy working together,” says Becca, who comes from a long line of ranchers. “Honesty and trust are at the heart of how I was raised. We care about our clients and always strive to do the right things for them backed by sound research and solutions.”

Becca received her undergraduate degree from Colorado State University. In 2021, she became an Accredited Investment Fiduciary (AIF^®). Becca obtained her CERTIFIED FINANCIAL PLANNER^®designation in 2022. “It was important to Bratton and to me that we both maintain professional qualifications for serving our clients at the highest standard of care possible from a fiduciary perspective. Financial planning is at the heart of what we do and we value the education and accountability being CFP^® Professionals provides.”

Becca is a sixth-generation Coloradan by birth. She and her husband, Matt, have called Bozeman home since 2010. They have two children, Monty and Hattie, and enjoy skiing, mountain biking, hiking, and camping as a family.

Securities brokerage services are provided by M.S. Howells & Co., Inc., a Registered Broker/Dealer and Member of FINRA/SIPC. M.S. Howells & Co., Inc. is not affiliated with Ashton Thomas Private Wealth, LLC.

Office: Scottsdale Headquarters

Email: [email protected]

Direct Phone: 602.732.4745

Fax: 602.734.5495

Becky L’Allier

Compliance Manager

Becky L’Allier joined the Compliance team at Ashton Thomas Private Wealth in 2023, assuming the role of Compliance Manager. In this role, Becky is focused on marketing compliance, policies and procedures, and compliance systems. Becky brings her experience in the financial services industry to support the team in ensuring regulatory compliance and operational efficiency.

Originally from Chippewa Falls, Wisconsin, Becky embarked on her professional journey after graduating from the University of Wisconsin-Eau Claire with a Bachelor’s Degree in Criminal Justice. Following her undergraduate studies, she pursued an Associate of Applied Science (AAS) Degree as a Paralegal from Rasmussen College in Minnesota, further expanding her legal expertise.

Throughout her career, Becky has gained diverse industry knowledge through her roles in various financial institutions, including a broker-dealer, life insurance company, mortgage company, and capital management firm. This breadth of experience has equipped her with a comprehensive understanding of different facets of the financial services industry, from internal operations to navigating state and federal regulatory entities.

Passionate about continuous improvement and collaboration, Becky enjoys working with individuals from different departments within an organization to enhance processes and ensure adherence to regulatory requirements. Her ability to ask pertinent questions and draw upon her wide-ranging experience allows her to contribute valuable insights to the compliance function.

Outside of her professional endeavors, Becky’s previous focus revolved around her children’s high school hockey and soccer careers. Now that her children have moved out, she has taken on a new challenge with the purchase of a fixer-upper lake property in Chippewa Falls. Embracing the DIY spirit, she looks forward to engaging in house and landscape projects, and exploring her newfound hobbies.

What drives Becky in her role in Compliance is the opportunity to work collaboratively with diverse teams and departments, contributing to the improvement of processes and ensuring regulatory compliance. She values the chance to utilize her experience to understand the intricacies of the business and support the organization’s overall success. With her dedication to maintaining high standards of compliance and her proactive approach to problem-solving, Becky is a valuable asset to the Compliance team at Ashton Thomas.

Office: Scottsdale Headquarters

Email: [email protected]

Direct Phone: 602.732.4745

Fax: 602.734.5495

Bonnie Sauer

Senior Transitions Specialist

Bonnie began her impressive career at Alex. Brown & Sons and Legg Mason, where she discovered her passion for financial services. She transitioned to Charles Schwab in 1995, where she became a licensed representative and officially moved into an Advisor Services position. Bonnie obtained her Bachelor of Arts in journalism and communications from Towson University and is now certified with the FINRA Series 7, 66, 9, and 10 licenses. As a Senior Transitions Specialist at Ashton Thomas, Bonnie Sauer enjoys assisting independent advisors and RIAs by serving clients in a more efficient and effective way. “By helping others, I feel that it’s a job well done for both the firm and for the clients,” she says. “It’s the job satisfaction and a feeling of success across the board for everyone involved in the outcome.”

Born and raised in New Jersey, Bonnie lived in Baltimore, Maryland before moving to Phoenix, Arizona, where she currently resides. She became a stay-at-home mom in 1999 and homeschooled her son, a nationally competitive junior tennis player. Since returning to work, she has served clients at Edward Jones and Charles Schwab in several roles, ranging from Financial Consultant to Senior Representative.

In her free time, Bonnie is an avid hiker, pickleball player, paddleboarder, and camper. She has worked as a yoga and pilates instructor and enjoys all forms of exercise. As a self-proclaimed daredevil, Bonnie bungee jumped in New Zealand, hot air ballooned off the east coast, and even tried tandem hang gliding.

Investment Advisory services are provided by Ashton Thomas Securities, LLC (“ATS”), an SEC-registered investment adviser. Securities are offered through Ashton Thomas Securities, LLC, a registered broker/dealer and Member of FINRA/SIPC.

Office: Scottsdale Headquarters

Email: [email protected]

Direct Phone: 602.732.4745

Fax: 602.734.5495

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Brad Burr

CFP® Professional | Wealth Advisor

Brad Burr joined Ashton Thomas in 2020 as a Wealth Advisor focusing on retirement plans for business, or 401(k) plans. Prior to joining Ashton Thomas, he led the 401(k) effort at Arizona-based Lovitt & Touché.

Brad is a native of Tucson, Arizona, and a graduate of the University of Arizona, where he majored in history and minored in economics and psychology. He started his career in the hospitality industry, holding various position in places of interest like the South Pacific and Alaska. After working in a family business briefly, he was approached by a friend who worked for Rauscher Pierce Refsnes, a predecessor of RBC Wealth Management. His friend encouraged him to consider a career as a stockbroker with the firm and Brad took him up on the offer. The rest, as they say, is history.

In 1985, Brad left the brokerage world to join The Acacia Group in Phoenix where he met current Ashton Thomas advisor and friend, Jay Penney. After serving as the registered securities principal for Acacia’s Phoenix office for 16 years, he stepped into the wholesale world for a time, working as an external annuity wholesaler and then internally with an insurance marketing organization (IMO). In 2008, he joined Lovitt & Touché to focus on the retirement plan space for the firm.

“Whether it’s an individual client or a business client, you have to uncover their need and find a solution,” says Brad of his seasoned perspective on the advisory profession.

To better serve his clients through the years, Brad obtained his CERTIFIED FINANCIAL PLANNER® designation in 1989. He was also past president of the Phoenix chapter of the National Association of Insurance Financial Advisors (NAIFA), a leading insurance professional industry association.

He and his wife, Cathy, have known each other since college and have been married for more than 35 years. They have two daughters, one who is an actress in New York City and one who lives with her family—which includes a grandson—in the Dallas metro area. Brad enjoys playing golf and traveling with Cathy to visit their family.

Office: Bozeman, MT

Email: [email protected]

Direct Phone: 406.551.1500

Fax: 602.734.5495

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Bratton DuBose

CFP® Professional | Managing Wealth Advisor

Bratton DuBose, CERTIFIED FINANCIAL PLANNER®, is Managing Wealth Advisor of Ashton Thomas Private Wealth’s Bozeman, Montana office.

“We aspire to excellence every day,” says Bratton, “We really value our clients, and we enjoy working with them. We also truly appreciate the team at Ashton Thomas which supports us in delivering financial planning, investment management, and related services to each client.”

Assisting Bratton with delivery of an exceptional financial planning and client service experience is his colleague, Becca Dammann, CERTIFIED FINANCIAL PLANNER®, AIF®, who has worked with Bratton for several years.

Bratton hails from South Carolina and is an alumnus of Clemson University. He was drawn to the “fresh air, clean water, and mountains” of Big Sky Country during his youth. Never afraid of hard work, Bratton worked as a ranch hand during the winters in Montana while attending Clemson the rest of the year. Bratton fell in love with the Rocky Mountain region and chose to call it home after graduating from Clemson with a degree in economics and accounting.

Bratton started his career as a financial advisor with D.A. Davidson in 1994. However, general brokerage industry practices which were common at the time made Bratton question his career choice. He briefly considered a change of direction which would have set him in the same career path of his father, an internal medicine physician. However, he envisioned that a disciplined, methodical approach like that used by the best physicians could work well in wealth management. As a result, he chose to pursue the CERTIFIED FINANCIAL PLANNER® designation, earning it in 2006. “I saw how a focus on pairing comprehensive financial planning with disciplined portfolio management could lead to better outcomes for clients.”

Bratton moved his practice to Wells Fargo Advisors in 2011. Becca, who had previously worked with Bratton at D.A. Davidson, rejoined him in 2016. With Becca’s help, he has built a substantial wealth management practice based in the Bozeman area. Bratton and Becca remained with Wells Fargo Advisors until 2019, when they joined Ashton Thomas.

Bratton and his wife, Kelly, make their home in Bridger Canyon near Bozeman. They enjoy being on the lake during summer weekends. Their son, Hans, is a sophomore at Arizona State University and their son, Bratton V, is a senior at the University of Puget Sound in Tacoma, Washington. Bratton also enjoys skiing, hiking, mountain biking, and scuba diving with his family and friends. Bratton and Kelly, who is a Great Falls native, have called Bozeman home since 1996.

Securities brokerage services are provided by M.S. Howells & Co., Inc., a Registered Broker/Dealer and Member of FINRA/SIPC. M.S. Howells & Co., Inc. is not affiliated with Ashton Thomas Private Wealth, LLC.

Office: Tuscon, AZ

Email: [email protected]

Direct Phone: 520.884.7550

Fax: 602.734.5495

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Brienne L. Dylewski

CFP® Professional | Managing Wealth Advisor

“It’s all about the client,” says Brienne Dylewski, As a CERTIFIED FINANCIAL PLANNER® when asked about how she views herself as a financial professional. “Be a good listener, offer thoughtful and simple solutions, and provide the best client service you can.”

Having left Pennsylvania at the age of 4, Brienne grew up in Tucson in humble surroundings. Being a resourceful and motivated person, she moved out on her own at the age of 17 and quickly became self-sufficient as a young adult. “The way I grew up really influenced my relationship with money,” says Brienne. Originally an architecture major in college, she still has passion for design, style, and use of space. Brienne also had a passion helping people with their financial futures and graduated with a BS in Accounting from the University of Arizona.

Brienne has been an integral part of the Tucson, Arizona, financial advisory landscape since 2002, when she began her career with American Express Financial Services. She quickly realized the opportunities for professional growth in a small firm environment, and became a part of Financial Architects in 2003, joining founder, James “Jim” Walker. “I had a good working relationship with Jim right away and realized early I had a lot to learn from him as a financial professional,” says Brienne of the dynamic that developed between the two future business partners.

Continuing the theme of professional development, Brienne completed Boston University’s Financial Planning Certificate Program in 2006 and received her CERTIFIED FINANCIAL PLANNER® mark. Shortly thereafter, Brienne became very active in the Financial Planning Association of Southern Arizona, serving for a time as chapter president and for several years as a board member.

In 2013, Brienne Dylewski acquired Financial Architects from Jim Walker. This was the result of a carefully-planned transition leading to Jim’s retirement from the business. In 2018, Brienne partnered with Ashton Thomas and became the firm’s Managing Wealth Advisor in its Tucson office, the former location of Financial Architects.

Brienne has been active in several community and not-for-profit organizations, including OdaikoSonora, where she served on the board of directors, and Junior Achievement, where she has volunteered regularly.

In her recreational time, Brienne enjoys hang gliding, sky diving, surfing, and paragliding. She is also an avid hiker and can be found exploring trails and mountain paths throughout her home state. “I like to be outdoors when I can. I enjoy my work as an advisor, but it’s nice to step away on weekends and unplug.” Perhaps this alone time is one reason Brienne remains the kind of attentive listener her clients appreciate.

Securities brokerage services are provided by M.S. Howells & Co., Inc., a Registered Broker/Dealer and Member of FINRA/SIPC. M.S. Howells & Co., Inc. is not affiliated with Ashton Thomas Private Wealth, LLC.

Office: Tucson, AZ

Email: [email protected]

Direct Phone: 520.884.7550

Fax: 602.734.5495

Chi Bui

Wealth Paraplanner

Chi is a seasoned financial planning professional with a passion for helping individuals achieve financial peace of mind. Born and raised in Sai Gon, Vietnam, Chi moved to the United States at the age of 16 for high school, and has since built a global career with stops in Bangkok, Thailand, Tokyo, Japan, New York City, and Tucson, Arizona.

After earning a Bachelor of Economics and Finance with a minor in Accounting from The Royal Melbourne Institute of Technology, Chi began her career in finance, working with multinational broker-dealers in fast-paced, client-driven environments. These early experiences helped develop a keen understanding of trading, compliance, and client servicing. It was during her time in Tokyo, however, that Chi discovered a true passion for personal wealth advisory, focusing on helping clients who may not be as versed in investments but still seek to achieve financial wellness.

Since then, Chi has been dedicated to paraplanning for English-speaking clients in Japan and Australia, and now looks forward to expanding their services in the United States. Through a combination of expertise and compassion, Chi strives to demystify financial planning, empowering clients to develop healthier relationships with money and make informed decisions about their futures.

Outside of work, Chi enjoys dancing as both a form of exercise and self-expression, and loves swimming and spending time at the beach. While she once surfed in Vietnam with her poodle, Chi now enjoys surf-skating in Arizona's landlocked setting.

With a deep cultural awareness and a passion for overcoming challenges in communication, Chi is committed to changing the way people think about money. Driven by the belief that financial freedom doesn't necessarily equate to wealth, but rather a mindset of thoughtful and intentional money management, Chi seeks to empower clients to feel comfortable and confident when discussing their finances.

Office: Scottsdale Headquarters

Email: [email protected]

Direct Phone: 602.732.4745

Fax: 602.734.5495

Claudiu Barbos

Senior Director, Head Trader and Portfolio Manager

Claudiu joined Ashton Thomas Private Wealth in 2021 as Director of Fixed Income and Portfolio Manager. In 2022, he became Director of Investments and Trading and then Senior Director, Head Trader and Portfolio Manager in 2024. In his current role, Claudiu leads the Asset Management team, which is comprised of experienced financial professionals from a range of industry backgrounds. The team provides trading, portfolio strategy, risk management, and investment research solutions to the firm's wealth advisors and their clients.

Prior to joining Ashton Thomas, Claudiu was Senior Portfolio Trader with Voya Financial, where he covered multiple market sectors and contributed to the broker-dealer’s overall asset allocation strategy. Previously, he had an extensive career with Vanguard, primarily as a Senior Fixed Income Trader. He was an inaugural member of Vanguard’s Fixed Income Special Transactions team, where he focused on building customized fixed income solutions for high-visibility, ultra-high-net-worth clients of the firm. These portfolios often contained complex financial instruments, as well as tailored, sophisticated cash management strategies.

“Advisors who serve high-net-worth clients typically oversee complex investment portfolios,” says Claudiu. “There is usually a need for creative thinking and an experienced perspective when seeking solutions to match their specific mandates. This is what I enjoy doing most.”

Born and raised in Romania, Claudiu and his family emigrated to the United States in 1983, settling in the North Shore of the Chicago metropolitan area. The family relocated to Indianapolis during his teenage years, where he attended Brebeuf Jesuit Preparatory School. Claudiu moved to the desert southwest for college at Arizona State University, graduating in 1999 with a degree in Finance and a minor in Economics and has remained in Arizona since. He currently resides in Scottsdale.

Investment Advisory services are provided by affiliated entities, Ashton Thomas Private Wealth, LLC (“ATPW”) and Ashton Thomas Securities, LLC (“ATS”) SEC registered investment advisers. Securities are offered through Ashton Thomas Securities, LLC, a registered broker/dealer and Member of FINRA/SIPC.

Office: Boston, MA

Email: [email protected]

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Cory Schauer

JD, LLM | Managing Director, Partner | Private Wealth Advisor

Cory is Managing Director and Partner with the Stafford Schauer Private Wealth Team at Ashton Thomas. He concentrates on serving high-net-worth individuals, families, endowments, and foundations by providing wealth planning, estate planning, and asset preservation strategies.

Cory was drawn to the financial services industry out of a desire to work with families pursuing or working with multigenerational wealth needs. Prior to joining Ashton Thomas in 2023, Cory was a member of the Stafford Schauer Group at Alex. Brown, a division of Raymond James. He joined Deutsche Bank in 2009, transitioning to Alex. Brown in 2016. Previously, Cory was Vice President with the Bank of New York Mellon, where he served as a portfolio manager and, subsequently, provided estate planning solutions to clients of the bank. Earlier in his career, he was a practicing attorney and equity partner at Donovan Hatem LLP in Boston, where he focused on tax and estate planning.

Cory is a graduate of the University of Massachusetts Amherst. He earned a master’s degree in taxation (LLM) from Boston University and a law degree (JD) from Suffolk University Law School. He is a member of the board of directors for Suffolk University Law Alumni, the Boston Estate Planning Council, and the Jewish Community Center of the North Shore.

Originally from Edison, New Jersey, Cory now resides in Marblehead, Massachusetts, with his wife, Rachel. Together, they have three daughters, Olivia, Carly, and Leah, each of whom are enrolled in collegiate pursuits.

Visit our team page at www.ashtonthomaspw.com/staffordschauerteam

Investment Advisory services are provided by affiliated entities, Ashton Thomas Private Wealth, LLC (“ATPW”) and Ashton Thomas Securities, LLC (“ATS”), SEC-registered investment advisers. Securities are offered through Ashton Thomas Securities, LLC, a registered broker/dealer and Member of FINRA/SIPC.

Office: Scottsdale Headquarters

Email: [email protected]

Direct Phone: 602.732.4745

Fax: 602.734.5495

Cynthia Schlanger

Chief Compliance Officer

Cynthia is a dedicated professional with a passion for financial education and a deep commitment to giving back to her community. She brings a wealth of experience in finance, compliance, and nonprofit work. Proudly born and raised in Texas, Cynthia's career trajectory reflects her dedication to helping individuals and organizations make informed decisions in the financial realm.

Cynthia earned her BBA in Finance with a concentration in Personal Financial Planning from the University of Houston, graduating Magna Cum Laude. She continued her academic journey at Rice University, where she obtained an MBA in Finance and Risk Management, graduating Cum Laude. These credentials laid the foundation for her expertise in guiding organizations to develop and restructure compliance programs, enhancing their efficiency and ensuring long-term success.

Cynthia’s professional life is complemented by her personal commitment to education. She believes deeply in the importance of financial literacy, particularly in educating the public on the essential principles of managing finances. She is particularly passionate about empowering others with the knowledge to control their own financial futures.

Outside of her professional endeavors, Cynthia is an active member of her community. She is on the Board of Directors for Children’s Safe Harbor, a nonprofit dedicated to supporting children who are victims of abuse. This work is incredibly meaningful to Cynthia, and she is proud to be part of an organization that works tirelessly to support children at a scale unmatched by others in the nation. Cynthia also regularly volunteers with organizations like the Houston Food Bank and Breast Cancer Charities of America.

When she isn’t advocating for children, or working on financial planning initiatives, Cynthia enjoys the outdoors, particularly as an avid backcountry hiker with her husband, Jeremy. Together, they explore National Parks around the country, often tackling 50+ miles of hiking trails. She also loves spending time at home, where she plays the piano, cooks homemade meals, and shares them with her family. Cooking is a cherished family tradition, with Cynthia’s children, Kaden, Dominick, and Penelope, joining her in meal planning and baking.

Cynthia’s life is a harmonious blend of professional excellence, community engagement, and a strong family foundation. She remains dedicated to nurturing her career, supporting her family, and inspiring others to take charge of their financial futures while making a positive impact on the world around her.

Office: Helena, MT

Email: [email protected]

Direct Phone: 406.389.8500

Fax: 602.734.5495

Deanna Tierney

Senior Private Client Banking Consultant

Deanna is a Senior Private Client Banking Consultant with Ashton Thomas Private Wealth. As an integral part of the firm’s Advanced Planning Team, she provides focused advice and direction to advisors and clients of the firm around credit, deposit, and lending solutions.

Ashton Thomas provides access to a range of banking solutions through third-party financial institutions,* such as those affiliated with some of the firm’s custodians. Deanna joined Ashton Thomas in 2022 to help the firm’s Wealth Advisors match the banking needs of clients with the various products and services available. Deanna can also guide clients through decisions on banking solutions available through local financial institutions to which they have access.

“Her depth of experience and knowledge in the banking space are an asset to the Ashton Thomas team and to the clients we serve,” states Murray Smith, CFP®, Director of Advanced Planning. “Clients have choices for their banking and lending needs, and they now have an advocate in Deanna to help them navigate those options as they work toward optimal outcomes.”

A native of Butte, Montana, Deanna has a degree in Finance from the University of Montana. She spent three decades in various personal banking roles in the Montana market with Wells Fargo and its predecessors. As a Relationship Manager and Premier Banker, her last role with Wells Fargo, she provided support to high-net-worth clients of the bank and assisted financial advisors in delivering banking solutions to their clients.

Deanna and her husband, Joel, reside in Helena, Montana. They enjoy spending time with family and friends at their Georgetown Lake cabin, exploring the great outdoors, and attending a variety of sporting events. Deanna also describes herself as an “animal lover.”

*Products and services offered through third-party financial institutions not affiliated with Ashton Thomas Private Wealth, LLC.

Investment Advisory services are provided by affiliated entities, Ashton Thomas Private Wealth, LLC (“ATPW”) and Ashton Thomas Securities, LLC (“ATS”) SEC registered investment advisers. Securities are offered through Ashton Thomas Securities, LLC, a registered broker/dealer and Member of FINRA/SIPC.

Office: Scottsdale Headquarters

Email: [email protected]

Direct Phone: 602.732.4745

Fax: 602.734.5495

Erin Galusha

Brand Administrator

Erin Galusha, Brand Administrator with Ashton Thomas Private Wealth in the Scottsdale office, is a versatile and accomplished graphic designer with a keen eye for creative endeavors within the firm. Highlighting her career, Erin’s prowess shines through her instrumental role in organizing the firm’s signature Elevate conference and crafting comprehensive print and digital media for the Ashton Thomas Private Wealth and Amplify team. Known for her adeptness in delivering top-quality projects under stringent timelines, Erin’s adaptability and unwavering “can-do” attitude define her professional, energetic, and fun personality.

Driven by an inherent artistic inclination, Erin finds immense fulfillment in her work, relishing the opportunity to create something new every day. Her passion for artistry seamlessly intertwines with her professional endeavors, reflecting her lifelong dedication to creativity.

Initially, Erin spent four years as a massage therapist before transitioning into freelance graphic design in 2020. Erin’s academic pursuits include earning an Associate of Arts and an Associate of Applied Science degree from Chandler Gilbert Community College, complemented by a Massage Therapy license and certification. Subsequently, she pursued her bachelor’s degree in Graphic Design at Grand Canyon University in 2018.

Originally from the East Coast, Erin enjoyed the Colorado outdoors before engaging in agricultural pursuits upon relocating to Arizona. As a former Officer in the local FFA chapter, she mastered construction, irrigation, and animal handling, wholeheartedly embracing farm life.

Beyond work, Erin enjoys weightlifting, skiing, wake surfing, and honing her baking skills. She actively cares for her parents, engages in painting, and volunteering. Recently married, Erin’s diverse professional journey aligns with her quirky traits, such as her fondness for sweets and aversion to spicy food.

Office: Scottsdale Headquarters

Email: [email protected]

Direct Phone: 602.732.4745

Fax: 602.734.5495

Gabrielle D’Agosta

Transitions Associate

Gabrielle D'Agosta is a finance professional with a passion for helping clients navigate complex financial decisions. Originally from Denver, Colorado, Gabrielle grew up in a family that valued both personal development and professional ambition—her father was the General Counsel at a large engineering firm, and her mother was a flight attendant. Encouraged to pursue a career in finance, Gabrielle moved to Scottsdale in 2018 after earning a Bachelor of Science in Finance from the University of Arizona, where she was an active member of the Alpha Chi Omega sorority. She began her career in the financial realm in 2020, coming to Ashton Thomas with prior experience from Merrill Lynch, Robinhood, and J.P. Morgan Securities, LLC.

A naturally extroverted individual with an ENFJ personality type, Gabrielle thrives in collaborative environments and has a genuine passion for building human connections. She is deeply motivated by purpose, and her ability to empathize and understand others' perspectives has allowed her to excel in problem-solving and client relations within the finance industry. Gabrielle is committed to continuous growth and achieved her Series 7, Series 63, and SIE certifications in 2021, and is currently studying for the Certified Financial Planner exam.

Beyond her professional accomplishments, Gabrielle is dedicated to giving back to her community. She has volunteered with Junior Achievement of Arizona for six years, where she organizes events and fundraising initiatives to teach financial literacy to elementary school children. Gabrielle is also an advocate for supporting local businesses, often visiting farmers markets and boutique shops in her free time. She enjoys exploring the rich cultural heritage of the Southwest through visits to museums and art galleries, with favorites including the San Xavier Del Bac Mission and Scottsdale’s Museum of the West.

Gabrielle’s “why” is rooted in her belief that financial services offer a unique blend of logic and creativity. By applying both data-driven insights and innovative thinking, she is dedicated to helping clients achieve their financial goals while fostering lasting relationships built on trust and understanding.

Securities are offered through Ashton Thomas Securities, LLC, a registered broker/dealer and Member of FINRA/SIPC.

Office: Scottsdale Headquarters

Email: [email protected]

Direct Phone: 602.732.4745

Fax: 602.734.5495

Garret La Haye

Assistant Controller

Garret La Haye is an Assistant Controller at Ashton Thomas Private Wealth. With a passion for numbers and a keen understanding of finance and operations, Garret brings a wealth of experience and expertise to his role.

Born and raised in Belleview, WA, Garret has always had a strong connection to the Pacific Northwest. After starting his college journey at the University of San Francisco, he ultimately transferred back to Seattle University, where he graduated in 2013 with a degree in Finance and a minor in Entrepreneurship and Innovation.

Garret began his professional career with Northwestern Mutual, where he was hired as an advisor trainee. While studying for the series 7 and 63 exams, he realized that his true passion lay in the accounting and operational aspects of the business, leading him to transition his focus.

In 2016, Garret joined NMG Restaurants as an Accounting Manager, leveraging his skills and knowledge to streamline financial processes and drive operational efficiency. Through his dedication and expertise, he quickly advanced to the role of Director of Operations.

At the end of 2021, Garret relocated to Arizona, bringing his expertise to Ashton Thomas Private Wealth. He is thrilled to be part of a dynamic team that aligns perfectly with his passion for finance and his enjoyment of accounting.

In his personal life, Garret recently tied the knot with his wife, Katrina, who is a compassionate RN specializing in hospice care. They share their home with two beloved dogs, a golden doodle and a maltipoo.

When not immersed in his accounting responsibilities, Garret finds joy in staying active. He enjoys golfing and weight training at home, nurturing both his physical and mental well-being. Exploring the beauty of Arizona is also a favorite pastime for Garret and Katrina, who consider themselves food enthusiasts and love trying out new and diverse restaurants in the area.

Office: Scottsdale Headquarters

Email: [email protected]

Direct Phone: 307-888-9640

Goda Stevens

Senior Regional Administration Manager

Goda joined Ashton Thomas in 2021 as a Wealth Advisor in the firm’s Casper, Wyoming office. Previously, she was with Wells Fargo Private Bank in Casper.

Born and raised in Lithuania, Goda moved to the United States in 2004. Originally settling in Portland, Oregon, she started her banking career in a retail role with US Bank. When she and her husband decided to relocate to Casper in 2009, she took a position with Wells Fargo. Over time, she worked her way from retail banking to the wealth management side of the business. She joined advisor Mike Porter’s team in 2011 as a Senior Client Associate and spent nine years working directly with high-net-worth clients in a growing Private Bank practice. With the aim of improving her skillset, Goda subsequently became an Operational Risk Consultant focused on addressing risk in client portfolios. Most recently, she was a Fee Underwriting and Oversight Support Consultant within the Fiduciary and Trust division before joining Ashton Thomas in 2021.

“I have always enjoyed working directly with clients,” Goda says, “but my time in compliance helped me gain more knowledge of why and how things are done behind the scenes in a wealth management practice. It really helped accelerate my growth as a financial professional and gave me a more well-rounded perspective on the advisory business.”

Goda and her husband, Josh, whom she met while he was traveling in Europe, together they have a son and a daughter. “I really feel like I am part of the community now and I love it here,” she says. The family enjoys downhill skiing, biking, camping, and spending time in the outdoors together.

Investment Advisory services are provided by affiliated entities, Ashton Thomas Private Wealth, LLC (“ATPW”) and Ashton Thomas Securities, LLC (“ATS”), SEC-registered investment advisers. Securities are offered through Ashton Thomas Securities, LLC, a registered broker/dealer and Member of FINRA/SIPC.

Office: San Francisco, CA

Email: [email protected]

Direct Phone: 415.363.3950

Fax: 602.734.5495

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Gregory Weiss

MBA | Managing Director, Partner | Private Wealth Advisor

Gregory A. Weiss is a finance professional with more than 30 years in the financial services industry. He enjoys working with both individuals and multi-generational families to support their private wealth needs. From pre-liquidity and pre-transaction planning to overall wealth transfer strategies, Gregory is dedicated to supporting clients as they strive for long-term financial achievements.

Gregory began his capital markets career in 2002 at Sanford Bernstein’s San Francisco office as a financial advisor, later becoming a Senior Vice President at Lehman Brothers in 2006. In 2008, he joined Wells Fargo Advisors. He holds an MBA with a concentration in Finance from San Jose State University, as well as a BS in Finance from California State University, Chico.

Outside of his professional life, Gregory is deeply committed to his family and community. He and his wife, Lisa, enjoy a very active lifestyle in Napa, California, where they are involved in various local charities. They are both proud of their three adult children, who have each grown into independent individuals, confidently pursuing their own paths in life. Gregory is also an avid wine enthusiast, and has been producing his own wine since 2006.

Gregory’s passion for his work is evident: “Helping people succeed financially is a great reward, and building long-term, trusted relationships with clients is extremely gratifying.” He finds fulfillment in helping others and building meaningful, lasting relationships with his clients.

Investment Advisory services are provided by affiliated entities, Ashton Thomas Private Wealth, LLC (“ATPW”) and Ashton Thomas Securities, LLC (“ATS”), SEC-registered investment advisers. Securities are offered through Ashton Thomas Securities, LLC, a registered broker/dealer and Member of FINRA/SIPC.

Office: Scottsdale Headquarters

Email: [email protected]

Direct Phone: 602.732.4745

Fax: 602.734.5495

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Howard Cox

Wealth Advisor

Howard Cox joined Ashton Thomas in 2019. Prior to joining Ashton Thomas, he was affiliated with Redhawk Wealth Advisors.

Howard grew up on a family farm in Illinois which sold produce to local food markets. His father fought in World War II and returned home after suffering a life-changing injury while fighting in France. After the war, his father became involved in local politics and then in the insurance industry. This marked the beginning of Howard’s interest in financial services.

Howard is a graduate of the University of Illinois, where he received a Bachelor of Business Administration degree. While in college, he became licensed in all lines of insurance and began working for his father. “I was taught to ask yourself this question when it comes to your clients,” he says. “If they were family, what would you do for them?”

Howard also spent a considerable amount of time working in the agricultural construction industry. He capitalized on his knowledge of farming and helped start a family business in the space and later worked for a larger company.

However, in 1985, he was offered an opportunity to step back into insurance full time with Foresters Financial Services in Texas. During his time with Forester Financial, the company started an investment division and Howard became securities licensed. He eventually rose to the role of District Manager, where he had responsibility for dozens of financial professionals within the company.

Howard met his wife, Sharon, in 1990 while at working for Foresters Financial. They married in 1999.

He had an opportunity to step back into the agricultural construction world in 1995 with Morton Builders, where he helped establish necessary internal controls for the company. He became a sales leader and spent a decade with the builder.

In 2005, Howard and Sharon decided to go into semi-retirement and relocate to Arizona. Howard again stepped back in the financial services world. Shortly thereafter, he met Sean Core, CPA, of Chandler. Sean and Howard connected to build a sizeable tax and financial services practice in the East Valley area. Today, Howard works from Sean’s new office and the two remain closely connected, with Sharon still doing tax preparation work for Sean’s practice seasonally.

Howard left his prior firm in 2019 to affiliate with Ashton Thomas and advisor Brandon Kahoun, his eventual successor. Together, Howard, Sean and Brandon are working to expand their practice in the East Valley.

“I enjoy my work. I like helping people,” he says of his semi-retirement career as a wealth advisor. “Be a good listener and you’ll learn more about people and how you can help them.”

Howard and Sharon currently reside in Sun Lakes, Arizona. He was married previously and widowed while his children were younger. Today, his son is a district manager for a furniture retailer in Texas and his daughter, who lives in Illinois, runs inpatient facilities for children with disabilities. He has four grandsons, two each by his son and his daughter.

Howard and Sharon enjoy traveling around Arizona in their free time. He is also an avid backyard chef with an impressive lineup of smokers and a few time-tested recipes under his belt. His smoked ribs and brisket are a hit with friends, family and his colleagues at Ashton Thomas.

Office: Scottsdale Headquarters

Email: [email protected]

Direct Phone: 602.732.4745

Fax: 602.734.5495

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Jay Penney

CFP® Professional, CFA®, AIF® | Senior Wealth Advisor

With more than 35 years as a financial services professional, Jay R. Penney brings a wealth of experience and credentials to assisting clients in the achieving their life and financial goals.

Jay earned the CERTIFIED FINANCIAL PLANNER® designation in 1987 and was awarded the CFA® (Chartered Financial Analyst®) in 1992. He recently earned the AIF® (Accredited Investment Fiduciary®) designation and holds Series 6, 7, 22, 24, 63, and 65 securities licenses with FINRA (Financial Industry Regulatory Authority).

Jay advises high-net-worth families, professionals and business owners, focusing on clarifying each client’s unique priorities and coordinating his advisory team’s efforts with those of other key legal, tax, and risk professionals. He delivers holistic, customized wealth management solutions to meet the increasingly complex demands of the volatile market.

“What I love most about my work is the incredible people I’ve had the privilege to get to know—people with complex, interesting life stories,” Jay says. “I get to meet their children and grandchildren. The personal relationships that last for decades are the most satisfying part of what I do.” An initial meeting with Jay includes 62 questions, with very few related to finances. “I am the kind of wealth manager who zeroes in and focuses on my clients’ desires, needs and wants,” he adds. To prove it, at the second meeting Jay delivers a 2’x4′ “mind-map” of their answers to those initial questions. Only after he understands a family’s life goals does he develop and execute a custom financial plan.

Jay spearheads Ashton Thomas’ 401(k) plan management services, which are offered to plan sponsors. In this capacity, Jay endeavors to apply fiduciary standards and benchmarks to the 401(k) plan choices offered to plan participants, taking costs, fees, and performance into consideration, while reducing the administrative burden for employers.

Jay and his wife, Dixie, have been married for almost four decades. They reside in Scottsdale where they raised their three children. Jay grew up in Boston and remains a diehard Red Sox, Patriots and Celtics fan. He and Dixie make yearly pilgrimages back to his personal mecca, Fenway Park, where he cheers his beloved Sox on to victory.

Securities brokerage services are provided by M.S. Howells & Co., Inc., a Registered Broker/Dealer and Member of FINRA/SIPC. M.S. Howells & Co., Inc. is not affiliated with Ashton Thomas Private Wealth, LLC.

Office: Denver, CO

Email: [email protected]

Direct Phone: 303.951.9453

Fax: 602.734.5495

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John McCloskey

CFP® Professional | Senior Wealth Advisor

John is a Senior Wealth Advisor with the Schwinck Private Wealth Team at Ashton Thomas Private Wealth. The Schwinck Private Wealth Team has offices both in Cherry Creek (Denver) and Colorado Springs.

John develops focused planning strategies to address each individual client’s specific needs. He was integral in Forbes naming the team a 2023 Best-in-State Team.¹

John has more than 15 years of experience in financial services. Prior to becoming a wealth advisor, he led an operations team for Wells Fargo Advisors which served financial advisors and their clients in the Greater Colorado market.

“Our clients are the heart and soul of our practice,” states John. “Our team is focused on understanding their aspirations and works hard to keep them moving toward their desired outcomes. Backed by the service and solutions provided by Ashton Thomas, we believe that we have something special to offer wealth management clients.”

The Schwinck Private Wealth Team is led by Karl Schwinck, Managing Wealth Advisor. In addition to John, the team also includes Cade Hammarquist (Wealth Advisor), Tiffany Shorkey (Private Wealth Marketing Associate) and Sandy Martin (Private Wealth Client Associate).

John originally hails from the Chicago area, but has called Colorado home since 2010. He is a graduate of Eastern Illinois University, from which he received a Bachelor of Science degree in Finance.

John, his wife, and two boys love all that Colorado has to offer. They enjoy spending their free time skiing, hiking, and exploring the great outdoors of the Rocky Mountain region.

Visit our team page at www.ashtonthomaspw.com/schwinckteam

1. https://www.forbes.com/companies/the-karl-schwinck-team-of-wells-fargo-advisors/?list=wealth-management-teams-best-in-state&sh=385ca19c16f5; Methodology: https://www.forbes.com/sites/rjshook/2023/01/12/methodology-best-in-state-wealth-management-teams-2023/?sh=4820741b598d

Securities brokerage services are provided by M.S. Howells & Co., Inc., a Registered Broker/Dealer and Member of FINRA/SIPC. M.S. Howells & Co., Inc. is not affiliated with Ashton Thomas Private Wealth, LLC.

Office: New York, NY

Email: [email protected]

Direct Phone: 415.363.3950

Fax: 602.734.5495

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Jon DuPrau

Chief Investment Strategist

Jon has dedicated his career to quantitative analysis and portfolio management, becoming an early advocate for integrating academic research and advanced technology in financial markets. With over 20 years of experience in strategic investment optimization, asset allocation, and portfolio construction and implementation, Jon serves as Chief Investment Strategist, with a focus on portfolio construction, risk optimization, and strategy implementation for wealth advisors and their clients.

Jon’s extensive experience collaborating with advisory teams, investment committees, board members, and senior executives enables him to align investment strategies with each organization’s mission and goals. His innovative, efficient approach has been adopted by institutional investors, hedge funds, and investment offices across the financial industry. His contributions have focused on methods for recognizing the potential to improve returns while optimizing efficiency and reducing behavioral bias.

Jon also serves as Chief Investment Strategist of Arax Investment Partners and Managing Partner at Quantum Portfolio Management and at Index Technologies Group, which are both portfolio companies of Arax Investment Partners. Prior to Arax, Jon was a quantitative analyst, then portfolio manager at Prudential Securities, where he worked to develop the firm’s efforts to incorporate technology into their investment strategies. At J.P. Morgan Securities and subsequently at Alex. Brown, Jon supported institutional clients in enhancing portfolio efficiency by leveraging quantitative research, tactical asset allocation, and alternative investments. He developed the Reliability and Efficiency Ratios that scrutinizes data to score investment solutions based on the most important metrics.

Active in his community, Jon champions various cultural and faith-based initiatives, reflecting his commitment to making a meaningful impact beyond the financial realm.

Jon DuPrau is an Investment Advisor Representative of Custom Index Systems LLC, DBA Quantum Portfolio Management, and Index Technologies Group, LLC located at 10 E. 53rd Street, 14th Floor, New York, NY 10022. Jon DuPrau is a Registered Representative of Ashton Thomas Securities, LLC and Securities are offered through Ashton Thomas Securities, LLC, Member FINRA/SIPC located at 200 Canal View Blvd., Suite 204, Rochester, NY 14623.

Office: San Francisco, CA

Email: [email protected]

Direct Phone: 415.363.3950

Fax: 602.734.5495

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Jonathan Smith

CFP® Professional, CIMA®, CPWA® | Managing Director, Partner | Private Wealth Advisor

Jonathan Smith is a seasoned financial advisor with a passion for helping clients navigate their financial journey and achieve long-term success. With a career spanning three decades, Jonathan has built a reputation for delivering meaningful impact in the lives of his clients by providing comprehensive financial planning, sophisticated investment strategies, and proven risk management solutions.

Committed to making a profound difference in his clients’ financial lives, Jonathan takes great satisfaction in developing deep, meaningful relationships with clients; helping them meet financial goals and supporting them through life’s transitions. Using an approach that combines in-depth market research, robust investment planning tools, and customized financial strategies, Jonathan focuses on delivering a tailored, well-rounded set of solutions. As a trusted confidant and strategic partner, he enjoys supporting his clients as they work to build wealth for their families and navigate complex financial decisions.

Reflecting his extensive technical, market and planning expertise, Jonathan is a CERTIFIED FINANCIAL PLANNER® professional and also holds the Certified Investment Management Analyst® (CIMA®) and Certified Private Wealth Advisor® (CPWA®) designations. He graduated from the University of California at Santa Cruz in 1992 and has been an active member of the Financial Planning Association and the Investments and Wealth Institute (“IWI”) for over twenty years.

Jonathan and his wife have two children and reside in San Anselmo, California. As time allows they enjoy hiking, skiing and playing golf. They are also deeply and directly dedicated to the Fragile X Syndrome community and the National Fragile X Foundation.

Investment Advisory services are provided by affiliated entities, Ashton Thomas Private Wealth, LLC (“ATPW”) and Ashton Thomas Securities, LLC (“ATS”), SEC-registered investment advisers. Securities are offered through Ashton Thomas Securities, LLC, a registered broker/dealer and Member of FINRA/SIPC.

Office: Helena, MT

Email: [email protected]

Direct Phone: 406.389.8500

Fax: 602.734.5495

Julie Hendrickson

Associate, Private Wealth Client Services

After an admirable career with one financial institution through its various iterations, Julie joined Ashton Thomas Private Wealth as a Client Service Associate in its Helena, Montana, office in 2021.

Julie began her career in banking with Norwest predecessor Union Bank and Trust in 1979. Julie worked through various roles and the subsequent mergers and acquisitions leading up to the acquisition of the Union Trust Company by Norwest. After the Norwest acquisition, Julie became head of the investment operations department. Subsequently, Julie was promoted to Portfolio Manager. When Norwest purchased Wells Fargo in 1998, Julie began working for the mutual fund team at Wells Capital Management. After the merger of the Norwest and Evergreen Funds (now Wells Fargo Advantage Funds) Julie retired—for the first time—in August 2012 as a result of that combination.

In 2016, Julie ran into Wells Fargo financial advisor Martin Lewis in a social setting, and Martin was able to convince Julie to come back to the firm and work in the Fiduciary and Trust Services group based in Helena. “I was working the day Michael Wong and Martin Lewis came and interviewed as graduates fresh from college,” Julie recalls. “I’ve known both Michael and Martin for many years.” She became Michael’s full-time client associate in 2019, a role she held until joining Ashton Thomas.

Julie, a native Montanan, has been married to her husband, Don, for 35 years. Together, they have four daughters who are “wonderful, successful adults.” They also have seven grandchildren, with another on the way. Julie and Don are “very outdoors oriented” and enjoy camping, fishing, hiking, ATV riding, and “basically anything we can fit into a day outdoors in Montana,” she says. Julie and Don are also owners of a small business, Hendrickson Aviation, a service where Don provides scenic air tours of southwest Montana in their 1979 Citabria airplane. As Julie sums it up, “We are very grateful for what we have and where we live.”

Office: Bozeman, MT

Email: [email protected]

Direct Phone: 406.551.1500

Fax: 602.734.5495

Julie Olander

CFP® Professional, AAMS® | Senior Wealth Planner

Julie joined Ashton Thomas in 2022 as a Financial Planner. Julie is part of the firm’s Advanced Planning Team. She focuses on providing financial planning solutions to advisors of the firm and their clients, with a geographic focus on the Rocky Mountain Region.

Julie enjoys learning and being challenged. Despite family ties to the financial industry—her mother is a CPA and her grandfather is a CERTIFIED FINANCIAL PLANNER®—Julie insisted on forging her own path in life. Entering the University of Colorado at Boulder as a molecular biology student, she changed course to study biology, then ultimately chose psychology as her major. It was during her sophomore year in college that her parents challenged Julie and her siblings with an investment exercise. They were each given money to invest in the financial markets, but they also had to explain why they chose the stocks they did and justify their choices. With that, the seed of a career in financial services was planted.

After graduating from college, Julie spent three years educating and coaching college students with career placement. She joined USAA as a Financial Foundation Specialist in the insurance division in 2014, where she worked with member clients to enhance their portfolio. Always talking about the financial markets, her supervisor recognized a strong interest and aptitude for financial planning and encouraged Julie to pursue training within USAA to obtain her securities and insurance licenses, as well as the Accredited Asset Management Specialist℠ (AAMS®) designation. Julie became a CERTIFIED FINANCIAL PLANNER® in 2022.

When she is not preparing financial plans for clients, Julie and her husband, Maxim, enjoy off-roading with their two dogs, Ninja and Bear. Part of their passion for off-roading is finding waterfalls in the mountains of Colorado and Montana. As recent Montana transplants, they look forward to spending more time outdoors exploring their new surroundings in Big Sky Country.

Securities brokerage services are provided by M.S. Howells & Co., Inc., a Registered Broker/Dealer and Member of FINRA/SIPC. M.S. Howells & Co., Inc. is not affiliated with Ashton Thomas Private Wealth, LLC.

Office: Tuscon, AZ

Email: [email protected]

Direct Phone: 520.884.7550

Fax: 602.734.5495

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Justin Limmer

Wealth Advisor

Justin Limmer is a native Tucsonan. As a local Tucson Advisor for the past twenty years, he serves an established clientele of retirees, working families, and businesses. “Tucson is home and always will be,” says Justin.

He remained in his hometown during his college years, attending and graduating from the University of Arizona with a degree in finance. Justin grew-up in Tucson and went to school alongside his sweetheart, Alisa (also a native Tucsonan), to whom he has been married for 9 years. Together, they have a daughter, Ella, who is, as Justin likes to say, “The purpose and the light of our lives.”

Justin understands the importance of focusing on a family’s financial future because it is at the top of his own priority list. As a wealth advisor, Justin strives to understand his clients’ goals, needs, and concerns in life. He gets to know each client and translates their aspirations into an actionable financial strategy. Part education and part implementation, each client’s financial plan is unique and is put into action over time, with necessary adjustments to changing needs and life circumstances.

During Justin’s career, he has specialized in working with Federal Employees. His understanding of the inner workings of the Federal Benefits Retirement System allows him to help Federal Employees maximize their benefits in retirement in keeping with their overall financial goals. To reach this demographic effectively, Justin has held seminars for Federal Employees in multiple government agencies around Arizona. If you are a Federal Employee or know someone who is, look for an upcoming workshop near you or call Justin to schedule a Personalized Federal Benefits Analysis appointment today.

Beyond Justin’s experience with Federal Employees, he enthusiastically serves clients of all types and professional backgrounds. The principals applied to sound financial and protection planning are ubiquitous, and he approaches each client household with fresh eyes and a listening ear.

Justin has served on the boards of various local non-profit organizations and has coached little league in his spare time. He is a lifelong Chicago Cubs baseball fan and loves to watch them play. “Being a Cubs fan teaches one the lessons of patience and delayed gratification.”

What you may not know is that Justin is an avid historian who loves to study the history of religion and politics. Of course, he is also a UofA basketball fan. But, for Justin, family always comes first. In his own words, “Upon meeting my wife and daughter, you know I am the most blessed husband and father ever.”

Office: Scottsdale Headquarters

Email: [email protected]

Direct Phone: 602.732.4745

Fax: 602.734.5495

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Karen W. McDade

CFP® Professional, AIF®, CDFA® | Senior Wealth Advisor

With more than 25 years as an independent advisor, Karen McDade is a second generation CERTIFIED FINANCIAL PLANNER® who is inspired by helping her clients discover and reach their goals. “My emphasis is on helping people simplify the confusion around their complex financial lives and deliver meaningful solutions.” Karen explains. Her commitment to maintaining a high level of technical and professional knowledge, coupled with her focused dedication to her clients’ success, make her an invaluable advisor to high-net-worth families and small organizations alike.

Karen is a graduate of the University of Wisconsin-Madison with a Bachelor of Science Degree in Financial Consulting. In addition to being a CERTIFIED FINANCIAL PLANNER® Karen has attained the Accredited Investment Fiduciary® (AIF®), which represents a thorough knowledge of fiduciary best practices. In 2017, she furthered her education by obtaining the Certified Divorce Financial Analyst (CDFA®) designation to more proficiently assist clients experiencing major life transitions.

In September 2015, Karen was named a “Five Star Wealth Manager” by Phoenix Magazine. Karen served on the National Board of Directors for the Financial Planning Association® (FPA®) from 2019-2022. As part of the National Board, Karen helped guide the FPA toward its ongoing objective to be the recognized home for CERTIFIED FINANCIAL PLANNER®.

Involved in the community, Karen has served on the Financial Literacy Board for the Girl Scouts Arizona Cactus-Pine Council since 2013. She is passionate about financial education, which prompted her engagement in advocacy and pro bono work within the FPA of Greater Phoenix.

Karen is an avid runner, with over 15 marathons to her credit. Her husband, John, shares her interest for running and is a managing editor within the iHeartMedia family of companies. Karen and John have one daughter, Ella and their family is rounded out by Max, the dog Ella fell in love with at a local animal shelter.

Securities brokerage services are provided by M.S. Howells & Co., Inc., a Registered Broker/Dealer and Member of FINRA/SIPC. M.S. Howells & Co., Inc. is not affiliated with Ashton Thomas Private Wealth, LLC.

Office: Denver, CO

Email: [email protected]

Direct Phone: 303.951.9453

Fax: 602.734.5495

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Karl Schwinck

MBA | Managing Wealth Advisor

Karl leads the Schwinck Private Wealth Team and is Managing Wealth Advisor for the Cherry Creek (Denver) office of Ashton Thomas Private Wealth. The Schwinck Private Wealth Team has offices both in Cherry Creek and Colorado Springs.

Karl and his team follow a disciplined wealth planning process tailored to the needs of each client they serve. He has over 30 years of experience advising clients. Karl was previously with Wells Fargo Advisors, where he spent 23 years of his career and won multiple awards and recognition within the firm. In 2022, Karl was recognized as a Best-in-State Wealth Advisor by Forbes¹ and, for 2023, his team was recognized as a Best-in-State Team by Forbes.²

“Our team is committed to a collaborative approach and a solutions-oriented, advice-driven experience for each client we have the privilege of serving,” says Karl. “I joined Ashton Thomas to elevate that experience for our clients and to ensure we continue providing the ‘white glove’ concierge service they have come to expect from us.”

In addition to Karl, the Schwinck Private Wealth Team includes John McCloskey (Senior Wealth Advisor), Cade Hammarquist (Wealth Advisor), Tiffany Shorkey (Private Wealth Marketing Associate), and Sandy Martin (Private Wealth Client Associate).

Karl holds a Bachelor of Science degree in Finance from California State University, Long Beach and a Master of Business Administration degree in Finance from the University of Southern Maine.

He has remained active in his local community throughout his career by volunteering with Care and Share of Southern Colorado, and the Denver Rescue Mission. He has also coached youth baseball and has served as a scout leader. In his personal time, Karl enjoys traveling, mountain biking, golfing, fishing, and hiking “Fourteeners” throughout Colorado with his family.

Visit our team page at www.ashtonthomaspw.com/schwinckteam

1. https://www.forbes.com/profile/karl-schwinck/?sh=18f35ec618f6; Methodology: https://www.forbes.com/sites/rjshook/2022/04/07/methodology-forbes-best-in-state-wealth-advisors-2022/?sh=76931d157fee

2. https://www.forbes.com/companies/the-karl-schwinck-team-of-wells-fargo-advisors/?list=wealth-management-teams-best-in-state&sh=385ca19c16f5; Methodology: https://www.forbes.com/sites/rjshook/2023/01/12/methodology-best-in-state-wealth-management-teams-2023/?sh=4820741b598d

Securities brokerage services are provided by M.S. Howells & Co., Inc., a Registered Broker/Dealer and Member of FINRA/SIPC. M.S. Howells & Co., Inc. is not affiliated with Ashton Thomas Private Wealth, LLC.

Office: Casper, WY

Email: [email protected]

Direct Phone: 307.224.2600

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Kate Johnson

MBA | Wealth Advisor, Senior Portfolio Manager

Kate was fortunate enough to grow up appreciating the outdoors. Early on, her small family enjoyed living in several of our country’s great National Parks where her father worked. As an educator, her mother taught her the value of lifelong learning, often through the exploration of new parks and extensive travel. This love of the wide-open spaces brought her family to Casper, Wyoming in the late 1970s.

Kate attended Hastings College in Nebraska, where she majored in Human Resources and Business. Kate ventured to the Denver area after college to pursue a career and remain close to the great outdoors. She continued her formal education, receiving her MBA from Regis University while working and raising her family in the foothills near Denver. Kate relocated back to Casper in 2017 when an opportunity arose which permitted her to be closer to family while still pursuing her career in the investment management space.

Kate joined Ashton Thomas in 2021 as a Wealth Advisor and Senior Portfolio manager in Casper, Wyoming. Previously, she was a Senior Investment Strategist with Wells Fargo Private Bank. Kate is part of the Casper Private Wealth Team that includes Mike Porter and Goda Stevens. “We each chose Ashton Thomas to help enhance the level and breadth of services provided to the high-net-worth clients we serve,” says Kate. “Clients want to work with someone who understands what they need, is capable of adjusting their plan as life unfolds, and is with them for the long haul. Ashton Thomas has given us the tools and resources we need to put our clients first in everything we do.”

Over her thirty-year career in the financial industry, Kate has been fortunate to hold several roles which shaped her knowledge and passion for wealth management. These roles included employee benefits plan management, design, and recordkeeping, as well as oversight of portfolio performance reporting and trading systems. “Who knew numbers could be so cool,” she says. Most recently, Kate managed a complex book of business with just over $900 million in assets comprised of trusts, foundations, endowments, corporate assets and—most importantly—individual accounts. “I enjoy taking complex topics and making them easier to apply to individual client situations,” says Kate. “Investments are interesting to me, but clients care primarily about whether or not we are meeting their planning goals. That’s what I focus on: building portfolios to help them accomplish their goals.”

Kate has been actively involved in the Casper community since her return, particularly in philanthropic efforts. “A big part of our decision to come to Casper was the opportunity to be more involved in the community,” she says. Kate is currently a board member of the Wyoming Women’s Foundation and the Gottsche Foundation.

She and her significant other, a professional fly-fishing guide, have four adult daughters between them. They love dogs and currently have a black Lab named Finn. They also enjoy traveling and spending time outdoors. “Make the most of the time you have,” says Kate. “Live your best life every day as often as you can and take the opportunity to learn something new.”

Visit our team page at www.ashtonthomaspw.com/casperteam

Office: Denver, CO

Email: [email protected]

Direct Phone: 303.558.1388

Fax: 602.734.5495

Katie Leech

CPA® | Senior Private Client Tax Advisor

Katie Leech, a Senior Private Client Tax Advisor with Ashton Thomas Tax Advisory, is based in the firm’s Cherry Creek office in Denver, Colorado. She leads client tax engagements, including tax planning and analysis as well as tax filings for high-net-worth clients, she also serves as a resource to other members of the Tax Advisory team.

Katie is a proud native of Kansas City, and she has always had a deep-rooted passion for her hometown’s cherished NFL team, the Chiefs. Raised in a close-knit family, she cherishes the bonds that tie her family together to this day.

Katie attended the University of Kansas, graduating in 2013 with a Bachelor of Science degree in accounting, thus setting the stage for her career in the world of finance and taxation. Her educational journey also took her to the CIMBA School of Business in Italy, where she embarked on a transformative summer semester, broadening her horizons and expanding her global perspective.

Katie’s twenties were marked by a time of exploration, with moves to Washington, DC, Denver, Colorado, New York City, then back to Denver. Professionally, Katie’s journey spans a spectrum of functional and industry specialties, from high-net-worth individual tax to travel and accommodation tax, and even the intricacies of hedge fund tax. It was during her tenure as a Tax Manager with Inspirato where she honed her skills in international tax compliance, navigating the nuances of non-U.S. tax regulation. Katie obtained the Certified Public Accountant (CPA) designation in 2016 as a testament to her ongoing pursuit of professional acumen. The intricate world of tax law and its practical application is an ongoing topic of interest for Katie. “I enjoy helping businesses and individuals navigate the complex world of tax in the pursuit of their financial goals,” says Katie.

Office: Draper, UT

Email: [email protected]

Direct Phone: 602.732.4745

Fax: 602.734.5495

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Kerry Severn

CFP® Professional, MBA | Wealth Advisor

Kerry Severn joined Ashton Thomas in 2020 as a Wealth Advisor in the Draper, Utah, office. “Throughout my career, I’ve learned that client needs must come first and must be at the core of every financial solution you put together for them,” he says. “Financial planning can be complex. Ashton Thomas is well-positioned to assist me in providing the distinct level of service and advice my clients require.”

A native of Thousand Oaks, California and a former competitive ballroom dancer for Brigham Young University, Kerry’s paternal relatives are a mix of showbiz success and entrepreneurs. His father’s family emigrated to the U.S. from South Africa and the children became successful actors in Hollywood films. However, a hit-and-run accident resulted in his grandfather breaking his back, forcing the family to leave Hollywood and rebuild. This resulted in Kerry’s father learning to work outside the entertainment world, eventually setting him on a successful career path within Adidas.

Kerry’s father, who never attended college, encouraged Kerry to pursue both athletic and academic achievement. After competing internationally as part of BYU’s ballroom dance team, Kerry graduated with a degree in organizational psychology. “I wanted to work in public service and help people,” he says. “But, I was also an entrepreneur at heart.” As a result, Kerry took a position with Fidelity Investments in Salt Lake City at the behest of a friend, working his way from entry-level support to trader to financial advisor.

When an opportunity arose to relocate his young and growing family from Utah back to southern California in 2001, Kerry jumped at it. “I had kept in touch with the Fidelity branch manager in Irvine,” he recalls. “The role in Orange County allowed me to meet people from varying backgrounds and really grow as a person…and as an advisor.”

As part of that growth, Kerry enrolled in and completed Pepperdine’s MBA program. After that, he studied for and passed the As a CERTIFIED FINANCIAL PLANNER® Professional examination. “I went back to something I was taught at BYU: make sure you do business the right way for the right reasons. The CERTIFIED FINANCIAL PLANNER® code of ethics was so closely aligned with my view of what a fiduciary is supposed to be.”

In 2014, with aging in-laws and a desire to explore other career avenues, Kerry and the family decided to move back to Utah. Kerry was offered and accepted a role with Edelman Financial in the Salt Lake City area. Edelman subsequently merged with Financial Engines. Kerry remained with the firm until 2019.

Kerry and his wife, Malinda, have three boys and three girls. They are all active within the Bluffdale arts scene, and both Kerry and Malinda continue to help choreograph local musical performances. The family loves gardening together, going on outdoor adventures and helping in the community through volunteerism. Their faith is very important to them, and they remain avid readers and dedicated local sports fans.

Office: Helena

Email: [email protected]

Direct Phone: 406.389.8500

Fax: 602.734.5495

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Killian Gorman

Associate, Private Wealth Client Services

Killian Gorman is a dedicated professional with a diverse background in athletics, banking, and community service. Born and raised in Hodgenville, Kentucky, Killian's journey has taken him across various states and cultures. He relocated to Manhattan, Kansas in 2011, where he began his collegiate education at Fort Hays State University in 2013. Killian completed both his bachelor’s (2018) and master’s degrees (2020) in Health and Human Performance. During his time at Fort Hays, he was captain of the NCAA Division II soccer team, leading them to four consecutive NCAA tournaments, where they reached the Sweet Sixteen each time and advanced to the national quarterfinals three times. His athletic accomplishments earned him multiple all-conference and all-region honors.

After graduating, Killian spent nearly four years coaching NCAA soccer before transitioning into a diverse career path that has included roles in collegiate athletics, Geographic Information Systems, commercial driving, and banking. Currently, he is part of Ashton Thomas Private Wealth, where he thrives on building personal relationships with clients and helping them achieve their goals.

Killian's family background is as varied as his career; his mother hails from Germany, his stepmother from Korea, and his father is from Iowa. He has three siblings and shares a passion for cultural diversity.

Outside of his professional life, Killian enjoys an active lifestyle, participating in weightlifting, basketball, hiking, kayaking, and fishing. He has completed two marathons and is eager to take on ultra-marathons in the future. An avid traveler, he has visited 12 countries across three continents and has explored 35 of the 50 states, with a particular interest in visiting national parks.

Killian is fluent in Spanish and German and has a passion for animal welfare. Alongside his mother, he has rescued numerous animals, including cats, dogs, and even raccoons and opossums, nursing them back to health and finding them loving homes.

Driven by a desire to connect with individuals from all walks of life, Killian's “why” lies in the relationships he cultivates and the support he provides to his clients. He looks forward to making a meaningful impact through his work at Ashton Thomas Private Wealth.

Office: Rochester, NY

Email: [email protected]

Direct Phone: 602.732.4745

Fax: 602.734.5495

Kimberly Johnson

Chief Compliance Officer

Kimberly is a seasoned Chief Compliance Officer with nearly 20 years of experience. She has previously served as a Securities and Options Principal, leading teams focused on critical compliance areas such as public communications and trade supervision. She is highly skilled in creating strategic plans and tactically executing those plans to develop and enhance end-to-end broker-dealer compliance programs. Kimberly excels in developing and deploying comprehensive compliance programs while maintaining the highest standards of integrity.

Kimberly's leadership is characterized by her strategic vision in compliance management, her ability to navigate complex regulatory landscapes, and her dedication to fostering a culture of compliance and excellence within her organizations. She has managed compliance teams of varying sizes and has built a reputation for her ability to drive effective change.

Beyond her professional achievements, Kimberly is passionate about mentoring. Whether teaching financial literacy to fourth graders or guiding young professionals in their careers, she takes great pride in empowering others to grow and succeed.

A native of Connecticut, Kimberly earned her degree in Communications, with a minor in Marketing, from the University of Connecticut at Storrs. Throughout her career, Kimberly has worked in various locations across the U.S., including Westchester, New York, South Florida, and Charlotte, NC, before returning to Connecticut to be closer to her large family in the tri-state area. She shares this journey with her 14-year-old son, Elijah, and their Maltipoo, Gino.

Outside of work, Kimberly enjoys traveling, salsa dancing, volunteering, and cheering for her son at his basketball games. Her greatest motivation, however, is her son, Elijah. Kimberly is driven by the desire to show him the value of learning, embracing challenges, and approaching life with a solutions-focused mindset. Her "why" is rooted in her commitment to her son and the belief that with passion, dedication, and a willingness to learn, anyone can overcome challenges and achieve their goals.

Office: Las Vegas, NV

Email: [email protected]

Direct Phone: 702.848.2828

Fax: 602.734.5495

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Lance T. Knight

CRPC® | Partner, Senior Director | Head of Business Development

Lance has been part of the Ashton Thomas family since 2018. He leads the firm’s Summerlin/Las Vegas, Nevada, office and has been chair of the firm’s internal Advisor Council since 2019.

Prior to joining the firm, Lance managed his own practice at Capital Insight Partners. Earlier in his career, he was with Merrill Lynch in Las Vegas as a financial advisor.

Lance is a native of the Salt Lake City metro area. His mother had roots in Edmonton, Alberta and his father hailed from California. Because the family owned a recognized commercial electrical contracting company in Utah, Lance grew up learning the value of hard work and entrepreneurship first-hand.

A former commercial banker and participant in numerous business sales and mergers over the years, Lance possesses a wealth of knowledge and experience in the small and family-owned business space, with a particular emphasis on construction, real estate, engineering, and light industrial operations. Today, Lance applies that knowledge to C-suite clients who are transitioning from one phase of life to another, monetizing their life’s work, and carefully planning for the effective deployment of their capital. Lance is particularly adept at bringing together capable teams of allied professionals to assist his entrepreneurial clients with valuation, transaction structuring, funding, and related advisory needs leading up to and through the business sale transaction. He is equally capable on the other side of the transaction in putting together the resources needed for a client’s investment portfolio, tax mitigation, and estate and philanthropic needs, as well.

“My clients have complex needs before they sell their business and afterward,” says Lance. “My goal is to purposefully understand each client’s situation and make sure we have the right people in the right seats at the table at the right time. No business sale ever goes completely according to plan, but so many potential pitfalls can be avoiding through experience and attention to detail. I am their eyes and ears through the whole process.”

Lance has been privileged to serve on the board of directors of St. Jude’s Ranch for Children in Nevada since 2016. He is currently chairman of the board for this vital nonprofit organization focused on proactively helping at-risk children. “St. Judes is doing such massively importantly work in the lives of children who have gone overlooked by much of society,” states Lance. “I’m so fortunate to work alongside these wonderful people who care so much and work so hard for these kids. Everyone deserves a chance at a life of love and happiness.”

An avid Golden Knights fan, much of Lance’s life has been built around the sport of ice hockey. He played junior hockey in high school and then spent time on a semi-professional team in Sweden in lieu of playing USHL Junior A hockey. “Not a bad tradeoff,” he states, recalling his time in Europe as a teen. Lance attended the University of Arizona where he played club hockey and was captain of the team, but received his Bachelor of Science in Business Administration from Northern Arizona University. Although he did not go on to play professional hockey after graduating, his love of hockey would translate into a lifetime of dedication to the sport as a youth coach, mentor, and sponsor of clubs and players throughout the western half of the U.S., including his two sons.

In addition to his love of ice hockey, Lance is an avid outdoorsman who currently splits his time between Las Vegas and Scottsdale, Arizona. He is been married to Tara, a former cheerleader for the UofA ice hockey team and former interior designer. They have three children together, one of whom is currently employed by Ashton Thomas in the firm’s Scottsdale headquarters.

Investment Advisory services are provided by Ashton Thomas Private Wealth, LLC, an SEC-registered investment advisor. Securities are offered through M.S. Howells & Co. a registered broker/dealer and Member of FINRA/SIPC. M.S. Howells is not affiliated with Ashton Thomas Private Wealth, LLC or any of its affiliates.

Office: San Francisco, CA

Email: [email protected]

Direct Phone: 415.363.3950

Fax: 602.734.5495

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Mark Cavalier

Managing Director, Partner | Private Wealth Advisor

Mark brings over 40 years of experience in the financial services industry, with skills spanning capital markets trading and sales, investment product development and marketing, and providing comprehensive investment consulting to both individuals and institutions.

In his most recent role with Wells Fargo Advisors, Mark led a multidisciplinary team focused on coordinating complete wealth management strategies for clients. Similar to his work with Ashton Thomas, Mark oversaw the development of clients’ holistic wealth plans, with his team offering wealth planning, portfolio analytics, investment management, and transaction support, all designed to create a seamless and integrated client experience.

Before joining Wells Fargo Advisors, Mark worked at several prominent institutions, including Mellon Bank, Paine Webber (now UBS), Lehman Brothers, and Smith Barney, taking him from Pittsburgh to Los Angeles, San Francisco, New York, and back to the Bay Area. Mark earned a Bachelor of Science in financial administration from Saint Vincent College in Latrobe, Pennsylvania.

He and his wife, Kathleen, enjoy an active life in Marin County and beyond. After years of shuttling their seven (now adult children) and supporting their various pursuits, they now enjoy similar activities with their children’s seven (soon to be eight) children that stretch from coast to coast.

Mark’s commitment to community extends beyond his own family. A long-time supporter of youth sports, education, and equine activities, he has served as a baseball and soccer coach, committee chair and board member at San Domenico School and, while a non-riding member of a riding family, he served as the investment committee chair and board chair of Giant Steps Therapeutic Riding Center for people of all ages and abilities.

Known for his ability to simplify complex financial situations, Mark helps clients reach their goals by establishing priorities and marshaling both technical and personal resources. His approach emphasizes managing wealth—not solely investments—holistically. He has built his career helping families navigate life’s challenges, and he strives to build long-term, meaningful relationships with his clients.

One of his most rewarding experiences is seeing a strategy he helped implement for a family over a decade ago come to fruition. Mark’s dedication to his clients has earned him several accolades, including being named to Forbes’ “Best in State” list for 2024.

Investment Advisory services are provided by affiliated entities, Ashton Thomas Private Wealth, LLC (“ATPW”) and Ashton Thomas Securities, LLC (“ATS”), SEC-registered investment advisers. Securities are offered through Ashton Thomas Securities, LLC, a registered broker/dealer and Member of FINRA/SIPC.

Office: Helena, MT

Email: [email protected]

Direct Phone: 406.389.8500

Fax: 602.734.5495

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Martin J. Lewis

Senior Wealth Advisor

Martin joined the Helena, Montana, office of Ashton Thomas Private Wealth as Senior Wealth Advisor in 2021. He has been active in numerous civic and professional organizations in the Helena area for much of his professional career. Previously, he was a Financial Advisor with Wells Fargo Advisors, having been with Wells Fargo and its predecessor organizations since the start of his career.

“I get my true enjoyment by understanding clients’ short and long-term needs and aligning their investments with the appropriate risk to achieve their goals”. Martin says. “I enjoy financial planning and goal setting with my clients. Working closely with my clients to understand what’s going on with their family, their health, their philanthropic goals, and so on. I’m passionate about helping families successfully pass along their wealth. Sometimes that’s a conversation people do not want to have, but which should be part of their overall plan.”

A native Montanan, Martin grew up in the Bozeman area. During his formative years, he developed an interest in finance and gravitated toward accountancy during his early collegiate years. Martin graduated from Montana State University in 1988 with a Bachelor of Science degree in Accounting. His professional career started with Wells predecessor Norwest Capital Management & Trust as a Tax Officer doing trust, estate and charitable tax returns. During this time, he took and passed the Certified Public Accountant exam.* Following the stint in trust taxation, he became a client-facing Trust Officer and was actively engaged in assisting clients with everything from investments to trusts and estate management. Acting as a fiduciary, he helped manage real estate, farmland, and oil and gas properties held in various trust vehicles.

In 1997, Martin pursued and obtained a Graduate Trust and Estate Administration Degree through the American Bankers Association (ABA) Wealth and Trust Schools program held at Northwestern University where he graduated with high honors. He served on Norwest’s trust committee, a role he held for a number of years. This eventually led to a Regional Manager Investment Fiduciary Services leadership role within Trust Services covering Montana, Wyoming, Idaho, eastern Washington, and Alaska. However, Martin’s main passion is helping clients one-on-one, so he decided to step back into the financial advisory role in 2019, a position he maintained until coming to Ashton Thomas in 2021.

Over the years, Martin has been active with the St. Peter’s Hospital Foundation board, where he was board president. Most recently, he served on the Steering Committee for Shodair Children’s Hospital Foundation for their new hospital building, where he served as co-chair. Other organizations with which he has been active over the years include Big Brothers, Big Sisters (board member and chair), Montana Youth Homes (board member), the Montana State University Athletic Association (board chair), the Montana State University Athletic Advisory Board, the University of Montana Law School Tax Institute Advisory Board, and the Exchange Club of Helena.

Martin’s son, Tevin, is a graduate of Montana State University and works for a local startup company. Martin and his wife, Beth, have a son named Kash who is currently in first grade. They enjoy spending time at the family cabin in the Gallatin Canyon and exploring the back trails in Montana in their side-by-side. He states that the family “rediscovered their love for Montana” during the early months of the 2020 pandemic. “We’re very grateful to live in such a naturally beautiful place as this,” he says. Martin also enjoys skiing and golfing.

As a practicing estate planner, Martin applies the same values he teaches clients to his own family. “The will and the trust are sterile documents,” he states. “They do not pass along your vision and values to your kids and grandkids. That’s why I encourage every client to write a letter to their heirs expressing their vision and values and what is most important to them other than just their inheritance. I do the same for my own children. Your legacy is about so much more than what’s on the balance sheet.”

* Currently inactive

Securities brokerage services are provided by M.S. Howells & Co., Inc., a Registered Broker/Dealer and Member of FINRA/SIPC. M.S. Howells & Co., Inc. is not affiliated with Ashton Thomas Private Wealth, LLC.

Office: Casper, WY

Email: [email protected]

Direct Phone: 307.224.2600

Fax: 602.734.5495

Melissa Hugget

Associate, Private Wealth Client Services

A proud native of Casper, Wyoming, Melissa Hugget brings a diverse and rich background to her current role in financial services, where she is thrilled to return to her roots after a varied career journey. Melissa's professional experiences span education, nonprofit work, healthcare, and online brokerage, and she has worn many hats across these industries, making her adaptable, resourceful, and deeply invested in the communities she serves.

Before entering the financial services sector, Melissa earned her Bachelor’s degree in Elementary Education from the University of Arkansas-Little Rock, where she was actively involved in the Student Government Association, serving as a senator for the College of Education and later as Secretary. Her commitment to community and leadership laid a strong foundation for her career, where she quickly developed a passion for connecting with people and creating meaningful change.

Over the years, Melissa lived in Little Rock, AR, Omaha, NE, and Fort Worth, TX, before returning to her hometown of Casper. She is the proud mother of three children: Chase (20), Caleb (18), and Kenzie (12), who inspire and motivate her every day. Melissa has always been a dedicated sports mom, cheering on her sons in football and track throughout high school. Her daughter, Kenzie, fuels Melissa’s creative side with her artistic talents and drawings, which continually amaze her.

Beyond her career, Melissa is passionate about her community and its well-being. She enjoys staying active with local events, concerts, and fundraisers, while rediscovering the natural beauty that surrounds her. An avid outdoor enthusiast, she looks forward to more hiking and fishing in the years to come. Melissa is also deeply committed to volunteerism, recently becoming involved with The Jae Foundation, an organization focused on suicide prevention. As part of their mission, Melissa helps support programs that engage high school seniors in mental health awareness and provide them with resources to reach out for support when needed.

In her professional life, Melissa is driven by the power of connection. Whether it’s working with sponsors, customers, colleagues, or volunteers, she finds deep satisfaction in knowing that she is making a difference in people’s lives. She believes in the power of human connection and finds the greatest achievements in fulfilling needs, offering support, and inspiring others. This "why" fuels her dedication and engagement in everything she does.

Office: Casper, WY

Email: [email protected]

Direct Phone: 307.224.2600

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Michael J. Porter

CTFA | Managing Senior Wealth Advisor

Mike joined Ashton Thomas in 2021 as the Managing Senior Wealth Advisor for the firm’s Casper, Wyoming office. Prior to joining the firm, he was a Senior Vice President and Wealth Advisor with Wells Fargo Private Bank for 25 years. During his career at Wells Fargo, Mike developed a deep understanding of wealth planning and investment management for high-net-worth individuals.

Mike is a Wyoming native, part of four generations of family who are happy to call the Casper area home. He is a graduate of Casper College and the University of Wyoming, where he majored in finance. During his tenure at Wells Fargo, Mike obtained his Certified Trust & Financial Advisor (CTFA) designation through Cannon Financial Institute.

After more than three decades in a large corporate environment, Mike chose to continue his career with Ashton Thomas. Today, he is focused on helping high-net-worth clients who have “worked hard” to create their wealth, stating, “My goal is to provide the best service and advice, be the advisor they deserve, and help them enjoy and preserve the legacy of their life’s work.” Mike is proud to serve multiple generations of families, helping them to navigate the complexities of managing their wealth.

Mike feels privileged to lead the Casper Private Wealth Team, which includes Kate Johnson and Shawn Porter. “Our clients trust us, ” Mike says, “so it is incumbent on us to stay on top of our profession and provide the focused solutions our clients need. I believe Ashton Thomas gives us that edge which, ultimately, benefits our clients.” Mike is also pleased with the firm’s commitment to Wyoming through community involvement and charitable giving, noting, “Together, we are investing in our local communities.”

Mike and his wife, Stacie, have been married for over 25 years, together they have three adult children. They are also proud owners of a local RV park, River’s Edge RV & Cabins Resort, which has become a staple for travelers visiting scenic regional destinations like Yellowstone and Mount Rushmore. Mike credits his experience as a small business owner with giving him the unique ability to “look through the eyes” of his clients and better understand what it takes to make tough business decisions.

Mike is proud to serve on the board of directors at the Wyo Sports Ranch in Casper, Wyoming. He also serves as a board member for the Dallas Safari Club.

Visit our team page at www.ashtonthomaspw.com/casperteam

Office: Helena, MT

Email: [email protected]

Direct Phone: 406.389.8500

Fax: 602.734.5495

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Michael J. Wong

CFA®, CPA/PFS™, CRSP® | Senior Wealth Advisor

Michael is a Senior Wealth Advisor in the firm’s Helena, Montana, office.

Michael combines a dedication to his clients with a dedication to his family, as well as the Helena community. “You can’t enjoy a good relationship without a high level of trust,” says Michael. “Trust is developed over time when you provide someone a high level of confidence and comfort that their financial affairs are being handled in a manner which meets their needs and expectations. That’s true for clients, your family, anyone really. Consistent, disciplined delivery of service translates into a positive long-term experience for those you serve.”

Michael is a native of Helena, Montana, where his family was in the restaurant and hospitality business. He graduated from Montana State University in Bozeman in 1989 with Bachelor of Science degree in Accounting. Prior to joining Ashton Thomas in 2021, Michael enjoyed over 30 years of financial industry experience, most recently as a Senior Financial Advisor with Wells Fargo Advisors. With his previous firm, Michael had served in various roles including Trust Tax Accountant, Trust Officer, Investment Strategist, and Portfolio Manager. Michael also provided equity research and investment analyst support for Wells Fargo Advantage Funds prior the entity’s merger in 2010.

Michael passed the Uniform Certified Public Accountant exam in 1992 and obtained his CPA designation. He then successfully completed all three levels of the Chartered Financial Analyst® exam and became a CFA® charterholder in 1999. Michael obtained his Personal Financial Specialist (PFS™) designation in 2011 through the American Institute of CPAs (AICPA).

Michael is currently a member of the CFA Institute, the CFA Society of Spokane, the American Institute of CPAs, and the Montana Society of CPAs. He has been involved with numerous youth athletic and community organizations over the years, and he currently serves on the board of directors for Green Meadow Country Club.

Michael and his wife, Tina, have three daughters, whom he describes as his “pride and joy,” with one studying pre-med at Montana State University, one working toward her esthetician certifications, and the eldest currently in graduate veterinary school. Michael enjoys skiing, golf, fishing, and hunting, as well as lake activities with the family. He is also a part-time farmer who keeps horses and is an “aspiring woodworker.”

Securities brokerage services are provided by M.S. Howells & Co., Inc., a Registered Broker/Dealer and Member of FINRA/SIPC. M.S. Howells & Co., Inc. is not affiliated with Ashton Thomas Private Wealth, LLC.

Office: Scottsdale Headquarters

Email: [email protected]

Direct Phone: 602.732.4745

Fax: 602.734.5495

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Nico de la Vara

CFA® | Wealth Advisor

Nico joined Ashton Thomas Private Wealth in 2021 as a Client Service Associate in the firm’s Scottsdale Headquarters. In this role, Nico dedicated his time to providing white-glove service for clients and ensured advisors were given exceptional operational assistance. After gaining valuable experience in his role as a Client Service Associate, Nico became a Private Wealth Advisor in 2024. He now focuses on assisting his clients with investing and long-term financial planning, while specializing in custom-tailored investment portfolios.

Nico recently achieved his Chartered Financial Analyst (CFA®) designation from the CFA Institute. He passed all three Level exams on the first attempt and put in well over 1000 hours studying. When asked about the designation, he said “I enrolled in the CFA Program to obtain the highest set of credentials in the global investment management industry. The credibility that the CFA designation affords and the skills the CFA Program cultivates are key assets for my future career development.”

An Arizona native, Nico is a graduate of Arizona State University (ASU), where he was a Barrett Honors College student, double majoring in Finance and Entrepreneurship, with a minor in Real Estate. Nico also worked for ASU’s athletic department during his collegiate years, where he had the honor of being tasked with maintaining the school’s logo and colors on the game field. “As a football fan and die-hard Sun Devil, it was an awesome job to have during college,” he recalls.

Nico began college as an Entrepreneurship major, which inspired him to start his own house painting company. Not long after founding the company, he began to uncover his passion for finance, leading him to add a major in Finance to his collegiate pursuits. “Adding a degree in Finance meant prolonging my graduation date,” says Nico, “but it was well worth it because nothing fascinates me more than analyzing investments, the economy, and the market.” His final collegiate year was spent writing his honors thesis titled The Emergence of Micro-Investing Brokerage and Trading Platforms.

For fun, he enjoys watching football—the Cardinals and Sun Devils are his favorite teams—going to music festivals, spending time outdoors, playing video games, and spending time with Sage, his Aussiedoodle pup.

Investment Advisory services are provided by affiliated entities, Ashton Thomas Private Wealth, LLC (“ATPW”) and Ashton Thomas Securities, LLC (“ATS”) SEC registered investment advisers. Securities are offered through Ashton Thomas Securities, LLC, a registered broker/dealer and Member of FINRA/SIPC.

Office: Boston, MA

Email: [email protected]

Direct Phone: 617.226.9988

Olivia Fisher

Associate, Private Wealth Client Services

Olivia Fisher is a dedicated professional in the financial services sector, joining the Ashton Thomas team as an Associate, Private Wealth Client Services. Raised in Grafton, Massachusetts, Olivia's journey took a transformative turn during her high school years when she relocated to Manila, Philippines. This cross-cultural experience ignited her passion for global issues and development, which she later pursued academically and professionally.

Olivia graduated from Salve Regina University in Newport, Rhode Island, with a major in Global Studies, concentrating in International Development, and a minor in International Business and Economics. As a standout student, she completed the Pell Honors program and published a thesis titled “Labor Abuse and Exploitation of Contractual Workers in the Philippines.” During her time at Salve, she was actively involved in ENACTUS as the Communications and Research Chair, leading a project that established a hydroponics lab and sustainable food curriculum for a rural school in South Africa. Additionally, Olivia's semester abroad in Florence, Italy, enriched her global perspective, where she also served as a Global Ambassador, guiding fellow students through their study abroad journeys.

In her professional career, Olivia has thrived in roles that bridge community engagement and client relations. At Goldman Sachs, she played a crucial role on the regional management team, where she orchestrated large client and community outreach events while supporting marketing initiatives for senior leadership.

Beyond her professional commitments, Olivia is passionate about community service. She actively participates in the Judge Guillermo B. Guevara Foundation, where she assists in interviewing scholarship applicants for law students in the Philippines. In her personal time, you can find Olivia skiing Killington Mountain, taking Pilates classes, playing guitar, spending time with her dog, Odin, and reading. Olivia's "why" revolves around fostering mentorship and building professional relationships that empower individuals to achieve their financial goals.

Her commitment to making a positive impact in the lives of others drives her work in financial services, making her a valuable asset to her team and community.

Office: Bozeman, MT

Email: [email protected]

Direct Phone: 406.302.5700

Fax: 602.734.5495

Rachel Black

Private Client Tax Advisor

Rachel joined Ashton Thomas Tax Advisory in 2022 and is based in the firm’s Bozeman, Montana office. She focuses on tax planning, income tax return preparation, and review services for individuals, trusts, and entities.

Prior to joining Ashton Thomas, Rachel was the Senior Manager of XY Planning Network’s Tax Solutions group, where she provided tax planning and preparation services to clients of financial advisors across the United States. Her primary focus was assisting employees in the tech sector with complex compensation and stock option planning. Before pursuing accounting, Rachel was a technical writer for a family-owned engineering firm which focuses on civil engineering and mining projects.

“I became a tax professional because we could not find an accountant whom we believed to be proactive and attentive to our business needs. Running our business was so interwoven into our lives and finances, and I knew that if I was feeling that frustration, I likely wasn’t the only one,” says Rachel. “My mom was a CPA and I was always drawn to personal finance growing up and into adulthood. It was a natural choice to pursue my passion and now I get to do it every day!”

Rachel received a Bachelor of Science degree with a concentration in Accounting and minor in Personal and Consumer Finance from Montana State University. She is currently pursuing the CPA designation and has passed two of the CPA exam’s four parts. She hopes to complete the certification requirements in 2023.

Rachel is native of Colorado and has lived throughout the Mountain West. Since 2015, she and her husband, Zach, have called Bozeman home. They have three daughters, ages 11, 13, and 15. Rachel loves hiking and spends time on the trail to clear her head and enjoy nature. The family enjoys camping and floating on Montana’s many rivers in the summer season. During the winter months Rachel prefers to hunker down in the kitchen, “I did a stint in pastry school at one point,” recalls Rachel, “so I can make anything from bread to entremets. These days, I mostly bake cookies.”

“We are delighted to have Rachel as part of the Ashton Thomas Tax Advisory team,” states the firm’s Director of Financial Planning, Murray Smith. “She adds to the talent and experience we already have, and she gives us more capacity across the board in the tax services we offer to advisors and clients of the firm.”

Office: Napa, CA

Email: [email protected]

Direct Phone: 707.690.1150

Fax: 602.734.5495

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Richard A. Garber

Managing Director, Partner | Private Wealth Advisor

Rick joined Ashton Thomas Private Wealth as a Managing Wealth Advisor in 2020. Previously, he was Senior Vice President and Financial Advisor with Morgan Stanley.

“My goal is being an indispensable resource for my clients,” Rick says of his philosophy as a financial advisor. “It’s an elusive goal, but it’s my standard. Access, responsiveness, and authenticity while delivering intellectual capital: that’s what it’s all about.” This notable intentionality permeates every aspect of Rick’s life.

Originally from the Atlanta area, Rick spent most of his youth in southern Georgia, but moved back to Atlanta in 1992. He started his career in the financial services world as a young man with Federated Insurance, where he focused on developing estate planning strategies for clients. However, it was during his time with Lincoln National that he gravitated toward investment management and financial advisory work for clients, who began requesting these services from him. “I realized I really enjoyed it,” he says, so he decided to focus on the advisory business by moving to Smith Barney, where he experienced many years of success.

Due largely to this run of success, an opportunity to make a career shift presented itself in 2002. Over the next five years, Rick worked with financial advisors at major firms throughout the southeast to develop financial solutions for their clients, representing well-known companies like SunAmerica and Prudential Financial as a regional executive. “I owe much of my current success to this period in my career,” Rick states. “I learned a lot that impacted who I am as a financial advisor today.”

In 2007, he determined it was time to return to working one-on-one with wealth management clients, so he joined an established team at Merrill Lynch as the executive compensation specialist. Once he had reestablished a core client following, he moved to Morgan Stanley in 2012 to take his advisory practice to the next level. Since that time, Rick has enjoyed continuing success in developing deeper relationships with his clients. To stay at the forefront of his profession and to ensure his clients have access to the services they require going forward, he transitioned to Ashton Thomas Private Wealth in 2020. “I awake every morning with the goal of serving the needs of clients with unwavering advocacy,” says Rick. “I searched for and found a team of like-minded colleagues at Ashton Thomas who are willing to pursue that goal with me every day.”

To further his professional acumen, Rick obtained the Certified Private Wealth Advisor® designation in 2011 through a joint program offered by The Investments and Wealth Institute and the University of Chicago’s Booth School of Business.

Rick and his wife, Sonya, have had a place in Napa Valley since 2015 and began calling the region home in 2018. They enjoy fine food and wine, staying fit, and watching films.

Visit our team page at www.ashtonthomaspw.com/garberteam

Securities brokerage services are provided by M.S. Howells & Co., Inc., a Registered Broker/Dealer and Member of FINRA/SIPC. M.S. Howells & Co., Inc. is not affiliated with Ashton Thomas Private Wealth, LLC.

Office: El Paso, TX

Email: [email protected]

Direct Phone: 520.884.7550

Fax: 602.734.5495

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Richard Pyle

ChFC®, FPQP™ | Wealth Advisor

Richard is a Wealth Advisor serving Tucson, Arizona, and El Paso, Texas. He holds the Chartered Financial Consultant^® designation and is a fee-only fiduciary advisor.

Prior to his advisory career, Richard was a global director in the weather measurement industry with the global weather measurement company Vaisala and its predecessors. Richard completed his tenure with the company in 2015 as Global Director of Renewable Energy, where he was responsible for the company’s renewable energy sector worldwide, including merger and acquisition projects.

A graduate of the State University of New York (SUNY) at Albany, Richard received a Bachelor of Science degree in Computer Science and was an integral part of the engineering team that developed the National Lightning Detection Network. While there, he co-founded a UNIX information systems company in New York.

“I became a financial advisor because I found myself in an international business career which was very impersonal,” says Richard. “The personal, one-on-one nature of the advisory business was very appealing to me since a discussion about money is one of the most personal and private things an individual can do. It demands a high degree of mutual trust to learn, know, teach, and lead people to act properly with good investments and a good plan. It is the most rewarding thing I have ever done. Now, I am in a firm where I can combine this unique trust with my passion for aviation to help aviation enthusiasts navigate their financials in the world of aviation and aircraft ownership.”

As a lifetime aviator and high-performance aircraft owner, Richard understands the unique needs of pilots and aircraft owners and their families’ financial needs. Richard first flew in 1983 and now holds a commercial multi-engine instrument rating with high-performance and complex aircraft endorsements. Richard has flown over 20 different types of aircraft for business, scientific research, the Civil Air Patrol, and as a member of Angel Flight West and Angel Flight South Central, providing charitable flights to children and families with urgent and serious medical needs.

He hails from Philadelphia, but Richard grew up mostly in the Hudson River Valley of New York State. His father was involved in research and development for IBM and through this exposure to technology in his formative years, Richard developed a passion for information systems, mathematics, and related engineering processes which carried through the better part of his career. This passion still influences how he approaches problem-solving today as a financial planner.

Throughout his professional career, Richard has traveled the world a good deal. He has lived in New York, Boulder, Colorado, and divides his time between Tucson, Arizona, and El Paso, Texas, with his wife, Monica.

Office: Scottsdale Headquarters

Email: [email protected]

Direct Phone: 602.732.4745

Fax: 602.734.5495

Robert Clark

Trade Support and Operations Specialist

Bob joined Ashton Thomas Private Wealth in 2022 as Trade Support and Operations Specialist. He assists the trade desk with daily workflow and special projects and is a member of the Asset Allocation Team, which supports the firm’s advisors in portfolio construction, investment research, and related matters.

Bob was previously Trade Manager at Voya Financial, where he helped the firm migrate trading functions from an outsourced provider to an internal overlay trade team, which he supervised. Following the majority acquisition of Voya by Cetera Financial, Bob became Advisory Operations Supervisor with responsibility for a team of 20 trading and trade support professionals. Before Voya/Cetera, Bob was briefly with Merrill Edge where he focused on the account margin and options functions. He started his professional financial services career after college with Vanguard, where he worked for about a decade in various roles, including the margin and restricted stock trade desks.

Bob is a native New Englander who hails from Bethany, Connecticut. He attended Bryant College (now Bryant University) in Rhode Island and graduated in 1999 with a Bachelor of Science in Business Administration concentrating in Finance. Bob came to Arizona in 2000 at his uncle’s invitation. With the exception of a brief stint back east a number of years ago, he has been a resident of the desert southwest ever since. He currently resides in Tempe.

Outside of market hours, Bob is an accomplished powerlifting coach and former competitive powerlifter. He trains powerlifting athletes nationally and currently coaches one of the top-five female powerlifters in the United States. Bob’s passion for the sport was born in 2002—the same year he started working for Vanguard—when he began competing as a weightlifter. “I started a powerlifting gym in my garage because we couldn’t train at the local gym,” he says. “Today the sport has evolved to where gyms catering specifically to powerlifters are located all over the country. It’s been great to be a part of the growth of this sport and to work with so many talented, committed athletes over the years.”

Securities brokerage services are provided by M.S. Howells & Co., Inc., a Registered Broker/Dealer and Member of FINRA/SIPC. M.S. Howells & Co., Inc. is not affiliated with Ashton Thomas Private Wealth, LLC.

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Office: Scottsdale Headquarters

Email: [email protected]

Direct Phone: 602.732.4745

Fax: 602.734.5495

Ron Piccinini

Ph.D. | Director, Head of Investment Research

Ron joined Ashton Thomas Private Wealth in 2023 as Director, Head of Investment Research. In this role, he is focused on portfolio risk modeling, custom portfolio design, and assessment of alternative investments, including options and derivatives.

Ron brings an extensive background in risk analytics, portfolio theory and model development, and quantitative research to Ashton Thomas. He studied the 1998 collapse of Long-Term Capital Management and subsequently wrote a graduate dissertation on heavy-tailed distributions using neural networks. Ron has applied the knowledge and experience gained through his quantitative research to risk management systems and processes at a number of well-known financial firms.

Before to joining Ashton Thomas, Ron was part of a portfolio management team that launched new ETFs to the advisory marketplace. Previously, he helped a national wealth management firm develop a program to assess structured notes as a tool for generating client conversations. He also built portfolio margin systems for TD Ameritrade and other firms. Ron was co-founder of a cloud-based risk analytics company which was subsequently acquired by a Covisum, a software entity which serves RIAs. He started his financial services career with First National Bank of Omaha, where he developed Economic Capital and Treasury risk models.

Ron received a Ph.D. from the University of Nebraska and a Maîtrise (Master’s degree) from Strasbourg University in France.

He is passionate about creating tailormade portfolio strategies to help advisors and their clients better navigate financial markets and investment risk. “I’ve always believed there are better ways to understand and measure risk,” states Ron. “Advisors and asset managers should be able to put together portfolios with appropriate levels of risk that have a fighting chance to outperform their peers over long periods of time. I’ve learned through experience and research that, while investment vehicle selection is important, the more determining factor in outcomes over time is the allocation percentage to each investment, since this is what controls the impact of risk on a portfolio strategy.”

In his free time, Ron enjoys golf, fencing, and scuba diving. He remains an avid student and researcher in the areas of high-performance computing, artificial intelligence, and the cognitive sciences.

Office: Scottsdale Headquarters

Email: [email protected]

Direct Phone: 602.732.4745

Fax: 602.734.5495

Ross Fronk

Alternative Due Diligence Manager

Ross is a dedicated professional with a strong foundation in history and sports management, coupled with extensive experience in the financial sector. Prior to joining Ashton Thomas, his career spanned nearly 15 years with the same firm, where he played a pivotal role in developing the company’s product due diligence processes and record-keeping procedures.

Raised in Mechanicsburg, PA, Ross is known as a lifelong athlete, with experience playing baseball, basketball, and football. During his time at Millersville University, Ross earned a Bachelor of Arts in History with a minor in Sports Management, and was a four-year letterman in baseball. He continued to contribute to the sport as a pitching coach after completing his NCAA eligibility.

In 2005, Ross married his college sweetheart, Kristin, and they settled in Dillsburg, PA, where they continue to raise their two sons, Alex and Andrew. Outside of work, Ross is passionate about youth sports and community involvement. He founded Northstars Baseball in 2020 and owns and operates The Yard, a baseball and softball training facility. He also serves as the Vice President of Football Operations for the Northern Youth Football organization, where he has been coaching for eight seasons.

An outdoor enthusiast, Ross enjoys spending quality time with his family in nature, hunting, fishing, and riding ATVs. The family shares a love for beach vacations, frequently visiting the Gulf Coast of Florida, the Outer Banks of North Carolina, and Virginia Beach.

Ross is motivated by the dynamic nature of alternative investment due diligence, relishing the unique challenges each deal presents and the opportunity to foster valuable business relationships. His commitment to protecting his firm, its advisors, and clients drives his professional endeavors. Known for his personable approach, Ross values interactions with colleagues and strives to create a collaborative work environment.

Investment Advisory services are provided by affiliated entities, Ashton Thomas Private Wealth, LLC (“ATPW”) and Ashton Thomas Securities, LLC (“ATS”), SEC-registered investment advisers. Securities are offered through Ashton Thomas Securities, LLC, a registered broker/dealer and Member of FINRA/SIPC.

Office: Scottsdale Headquarters

Email: [email protected]

Direct Phone: 602.732.4745

Fax: 602.734.5495

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Ryan Lovett

CFP® Professional, AIF® | Senior Wealth Advisor

Ryan Lovett is a Senior Wealth Advisor with 18 years of experience in financial services. He began his professional development in the residential mortgage sector, where he discovered an affinity for helping families achieve their financial objectives. Ryan went on to gain experience in the currency-trading markets, where he further developed his skills for learning about, and trading capital markets of all types.

Desiring to bring those two passions together naturally led him to the personal wealth management profession. Ryan has spent the last fourteen years playing an instrumental role in the growth and evolution of Ashton Thomas Private Wealth, a Registered Investment Advisor (RIA) firm headquartered in Scottsdale, Arizona.

Ryan became a CERTIFIED FINANCIAL PLANNER® in December 2022 to apply a comprehensive, planning-based approach to each client relationship. He enjoys collaborating with clients to develop a personalized Financial Blueprint focused on long-term financial success. That detailed financial plan becomes the foundation for delivering investment advice, creating asset preservation and wealth transfer strategies, and implementing tax-aware solutions. Ryan works in concert with a credentialed Ashton Thomas team across the disciplines of estate planning, insurance, taxation, and investment management to ensure each aspect of the plan is optimized for a client’s desired outcomes.

In addition to his growing Private Wealth practice, Ryan also conducts much of the research, analysis, and delivery of ongoing reporting for the workplace retirement plans Ashton Thomas serves in a 3(38) Investment Fiduciary capacity. He is also well-versed in assessing non-traditional investment types, including real estate, private equity, hedge funds, and other complex instruments, providing his clients a diverse skillset applicable to the portfolio oversight process.

Ryan serves as a member of the firm’s Advisor Council, which assists Ashton Thomas leadership in steering the direction and allocation of the firm’s resources. The Advisor Council plays a key role in collaborating with the firm to ensure a robust set of resources and solutions remain in place to support advisors and their clients. The Council also makes each of its members aware of and holds them accountable to the maintenance of the industry’s “best practice” standards for client service and delivery of financial advice.

In addition to being a CERTIFIED FINANCIAL PLANNER®, Ryan also holds the Accredited Investment Fiduciary® (AIF®) designation. Ryan graduated from Arizona State University with a bachelor’s degree in Interdisciplinary Studies with a concentration in Economics and Business. Ryan and his wife, Kelli, welcomed a beautiful baby daughter, Riviera, to their lives in 2022. They enjoy camping, days on the lake, skiing, and travelingto stadiums around the country to cheer on their beloved New England Patriots.

Securities brokerage services are provided by M.S. Howells & Co., Inc., a Registered Broker/Dealer and Member of FINRA/SIPC. M.S. Howells & Co., Inc. is not affiliated with Ashton Thomas Private Wealth, LLC.

Office: Billings, MT

Email: [email protected]

Direct Phone: 406.409.4521

Fax: 602.734.5495

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Ryan Stevens

Managing Wealth Advisor

Ryan joined Ashton Thomas as Managing Wealth Advisor in Billings, Montana in 2021. He was previously with Wells Fargo Advisors.

Community is and always has been an important part of Ryan’s life. A Montana native, he grew up in Bridger. Ryan treasures the work ethic, memories, and relationships formed while playing basketball and baseball as a young man. He attended Montana State University in Billings, graduating with a B.S. in Business Administration and Information Systems.

During college, Ryan worked for Wells Fargo, previewing his financial services career. After a few years working in the Montana state government’s Department of Revenue post-graduation, he returned to Wells Fargo as a Project Manager and then moved into a junior advisor role in his father-in-law’s financial advisory practice. The rest, as they say, is history.

“Clients have told me they appreciate my reliability,” says Ryan. “Money management has become somewhat of a commodity. The service you provide and the time and attention you give to building client relationships are the true diversifiers.” Ryan is focused on understanding what a client needs their money to do and then helping identify and implement solutions which help them attain their goals. “From education planning, to tithing, to retirement, it all needs to be considered as part of their financial plan.”

Ryan married his wife, Molly, in 2005. Their son, Porter, was born in 2007 and currently attends St. Francis. The family enjoys traveling domestically and internationally when able. They also love the great outdoors and spend a good amount of their free time in the East Rosebud area enjoying the scenic beauty of Big Sky Country.

Securities brokerage services are provided by M.S. Howells & Co., Inc., a Registered Broker/Dealer and Member of FINRA/SIPC. M.S. Howells & Co., Inc. is not affiliated with Ashton Thomas Private Wealth, LLC.

Office: Colorado Springs, CO

Email: [email protected]

Toll Free: 844.590.6081

Direct Phone: 719.247.9646

Fax: 602.734.5495

Sandy Martin

Associate, Private Wealth Client Services

Sandy is a Private Wealth Client Associate with the Schwinck Private Wealth Team at Ashton Thomas. Sandy is based in the Colorado Springs office and oversees the operations for the Cherry Creek (Denver) office, as well. She delivers white-glove, personalized service by ensuring the operational needs of the team’s clients are completed efficiently and in a timely manner.

Prior to joining Ashton Thomas, Sandy served in a similar role with Wells Fargo Advisors and has been in the financial services industry for 23 years. She was integral in Forbes naming the team a 2023 Best-in-State Team.¹

“Because our clients are the focal point of what we do every day,” states the team’s Managing Wealth Advisor, Karl Schwinck, “Sandy is a crucial part of our success and our ability to consistently meet and exceed our client’s expectations. She is not only a terrific client service representative, she is also a wonderful human being and we are fortunate to have her as part of our team!”

The Schwinck Private Wealth Team is led by Karl. In addition to Sandy, the team also includes John McCloskey (Senior Wealth Advisor), Cade Hammarquist (Wealth Advisor), and Tiffany Shorkey (Private Wealth Marketing Associate).

A Minnesota native, Sandy has lived in Colorado since 1982. She and her husband, Ray, have two children and four grandchildren who keep them very busy, particularly running between youth sporting events to cheer them on. Sandy also enjoys doing cross-stitch and researching her family genealogy, which she has been able to trace back to the 1600s.

Visit our team page at www.ashtonthomaspw.com/schwinckteam

1. https://www.forbes.com/companies/the-karl-schwinck-team-of-wells-fargo-advisors/?list=wealth-management-teams-best-in-state&sh=385ca19c16f5; Methodology: https://www.forbes.com/sites/rjshook/2023/01/12/methodology-best-in-state-wealth-management-teams-2023/?sh=4820741b598d

Office: Helena, MT

Email: [email protected]

Direct Phone: 406.389.8500

Fax: 602.734.5495

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Scott Knutson

Managing Wealth Advisor

Scott is the Managing Wealth Advisor in the Helena, Montana, office of Ashton Thomas Private Wealth. He holds Bachelor of Science Degrees in Business Administration and Organizational Communication from Concordia College in Moorehead, Minnesota. He was previously with Wells Fargo Advisors in Helena.

Initially entering the industry with Wells Fargo predecessor Norwest, Scott quickly advanced to the Financial Advisor role. He has served in that capacity since 1994, building a substantial advisory practice before joining Ashton Thomas in 2021. Earning many professional and industry accolades throughout his career, Scott has been recognized by Barron’s as one of America’s Top 1,200 Financial Advisors* for eleven consecutive years.

Scott leads a team of professionals who are committed to providing focused, client-centric service. “It really is about our clients and how our team serves them. At the end of the day, we are dedicated to a service standard that meets their needs in achieving their financial objectives. The practice is built around a full-balance-sheet approach to helping high-net-worth individuals and families. We want them to have confidence their finances are being managed by a group of people who know and truly care about them. We have so many great relationships because our team members go the extra mile to treat our clients like family.”

Regarding his decision to join Ashton Thomas, Scott states, “The firm exemplifies my client first, service first approach to this business. I believe it is important that your organization, your culture, and your team are aligned in serving your clients.”

When he is not consulting with clients, Scott spends much of his free time with his children, Jack and Samantha, on the family ranch in Clyde Park. As a lifelong Montanan, Scott enjoys many outdoor activities, particularly hunting for upland game.

Securities brokerage services are provided by M.S. Howells & Co., Inc., a Registered Broker/Dealer and Member of FINRA/SIPC. M.S. Howells & Co., Inc. is not affiliated with Ashton Thomas Private Wealth, LLC.

* From Barron’s: “The rankings are based on data provided by around 4,000 of the nation’s most productive advisors. Factors included in the rankings: assets under management, revenue produced for the firm, regulatory record, quality of practice and philanthropic work.” Link to Barron’s website

Office: Casper, WY

Email: [email protected]

Direct Phone: 307.224.2600

Fax: 602.734.5495

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Shawn M. Porter

CTFA, CFP® Professional | Wealth Advisor

Shawn is a Wyoming-based Wealth Advisor with Ashton Thomas. After years of discussing the idea of working together, Shawn joined his cousin, Michael Porter, as part of the Casper Private Wealth Team.

“I’m focused on building relationships with my clients, understanding their goals, and looking at wealth holistically through a financial plan,” says Shawn. “The plan outlines the objectives they are aiming for and shows each client the pathways to achieve those goals.”

The evolution of Shawn’s career over 28 years in financial services has given him the perspective he brings to each wealth management client he serves. Most recently, he was a Wealth Advisor with First Interstate in Casper. Shawn and a handful of other financial professionals were an instrumental part of the transformation of First Interstate’s service model during a time of evolution in the financial services industry. When Shawn joined First Interstate in 2000 as a Trust Officer, the bank offered retail clients banking and trust services. Not long after joining the Trust Department, the bank had evolved to a broader wealth management services model, and Shawn broadened his skill sets and credentials accordingly. Prior to his time with First Interstate, Shawn worked in the Trust Department of a local Wyoming bank.

Shawn is a graduate of the University of Wyoming, earning a Bachelor of Science degree in Finance in 1995. He obtained the CERTIFIED FINANCIAL PLANNER® mark from the CFP Board of Standards in 2012.

His father owned an established CPA practice in Casper, Wyoming, giving Shawn a firsthand view of life as a financial professional from an early age. “I owe much of my work ethic and client-centric mindset to him,” Shawn recounts.

A native of Wyoming, Shawn met his wife 21 years ago and has been married for 18 years. Together, they have two children, a daughter who is 17 and son who is 14. “Most of my life is based around my family,” Shawn beams. In addition to having coached his son in football and traveling a good part of the year with his son’s baseball and his daughter’s volleyball team, Shawn and his family enjoy fishing, hunting, camping, and “being in the outdoors.” Longtime members of the Cowboy Joe Club, they are also devoted University of Wyoming fans. As Shawn puts it, “Brown and Gold and loyal to the end!”

Shawn is an avid outdoorsman who enjoys bow and rifle hunting, particularly during mule deer season. “At the end of the day, my favorite hobby is just sitting up in the mountains and looking at the countryside. It’s where I think and recharge.”

Visit our team page at www.ashtonthomaspw.com/casperteam

Office: Scottsdale Headquarters

Email: [email protected]

Direct Phone: 602.732.4745

Fax: 602.734.5495

Tanisha Branch

Senior Transitions Specialist

Tanisha Branch is an accomplished financial services professional with over 17 years of experience. Tanisha has excelled in various roles, from client service to account management. Originally from Massachusetts, Tanisha relocated to Florida, and she has called the Sunshine State home for the past 17 years. Living with her husband and daughter, she values family connections, having welcomed her mother and brother to Florida as well.

Tanisha graduated from the University of Massachusetts Amherst, where she cultivated her passion for helping others. Her commitment to ethical leadership and client advocacy is reflected in her work philosophy, inspired by Dr. Martin Luther King Jr.'s powerful quote: “The ultimate measure of a man is not where he stands in moments of convenience and comfort, but where he stands at times of challenges and controversy.” For Tanisha, leading with integrity and character is essential, whether she’s guiding her client relationship team or supporting her family and friends.

In her role in transitions, Tanisha finds immense satisfaction in navigating complex projects, serving as a champion for advisors, and ensuring they feel supported and valued throughout the process. She holds several professional certifications, including FINRA Series 7, 63, and 24, which further enhance her expertise in the financial sector.

Beyond her professional life, Tanisha is passionate about mentoring the next generation and actively engages in her daughter’s Girl Scout troop. She is dedicated to causes such as human rights, education, and cancer research. In her free time, she enjoys watching professional football and basketball, with her favorite players Tom Brady and LeBron James. Tanisha also loves spending time at the beach and traveling.

Securities are offered through Ashton Thomas Securities, LLC, a registered broker/dealer and Member of FINRA/SIPC.

Office: Scottsdale, AZ

Email: [email protected]

Toll Free: 844.590.6081

Direct Phone: 602.732.4745

Fax: 602.734.5495

Taylor Knight

Associate, Private Wealth Client Services

Taylor is a Client Service Associate in the firm’s Scottsdale Headquarters office. He joined the firm as an Advanced Planning Intern under Murray Smith in 2019 and transitioned to the full-time service role in 2021 after completing his internship.

From a young age, Taylor was exposed to the daily life of a Wealth Advisor through his father, Managing Wealth Advisor, Lance Knight. As Taylor grew older, this exposure developed into an aspiration to become an advisor himself. Knowing he wanted to pursue a career in financial services, Taylor was encouraged by his father to pursue the internship with Ashton Thomas while in college.

While Taylor has a knack for finance, his real passion in life (and also following in his father’s footsteps) always been putting on a pair of skates, gearing up with stick in hand, and hitting the ice. “I’ve been playing hockey my whole life,” he says. “I still enjoy playing today and hopefully will be able to continue playing for a long time.” During his senior year of high school, Taylor moved to Seattle to play in a junior hockey league in the Pacific Northwest. After spending a year in Seattle, moved to Aspen, Colorado, where he continued playing junior hockey. Taylor’s teams won their respective league championships both years and, during his second season of junior hockey in Aspen, he served as the team’s captain.

Taylor returned to Arizona after playing hockey for two years and attended the University of Arizona (UofA) in Tucson. During his collegiate years, Taylor became one of the founding fathers of the fraternity, Tau Kappa Epsilon (TKE). In addition to being a founding father, he also served as Treasurer where he was assigned the task of purchasing a house for the fraternity. As one might expect, Taylor played hockey for UofA, also playing roller hockey for the school in the off-season. He received a bachelor’s degree in Personal and Family Financial Planning in 2021 and was one of the first graduates of the school’s new financial planning program. The program UofA was started with the assistance and input of the Financial Planning Association, a professional industry organization to which Ashton Thomas has regularly dedicated support and resources.

When Taylor is not working, you can still find him on the ice playing hockey in a local adult hockey league. He also enjoys participating in outdoor activities, working on almost anything with an engine, spending time with his family, or playing with his two dogs, Avie and Squire. Taylor is currently studying to sit for the Certified Financial Planner (CFP^®) exam.

Office: Scottsdale Headquarters

Email: [email protected]

Direct Phone: 602.732.4745

Fax: 602.734.5495

William J. Cerynik

Director of Advisor Development and Services

William has more than two decades of experience in financial services. He joined Ashton Thomas in 2016.

William’s early career focused on corporate finance and banking. After completing the institutional training program at Chemical Bank, a predecessor of JP Morgan Chase, in New York City in 1995, William held a variety of roles within large financial institutions and fortune 100 companies. His experience included financial statement analysis, mergers and acquisitions, fixed income products, and enterprise technology solutions.

With a vision to help individuals using the knowledge he acquired, William turned to financial planning as a career in 2005. “I found more gratification helping regular people solve real-world financial problems. The rewards were noticeable and personal.”

William joined Waddell & Reed Financial, quickly ascending from Financial Advisor to District Manager with direct responsibility for training and mentoring new advisors. After becoming a key part of the regional leadership team in eastern Pennsylvania, he started a satellite office for the firm, the first ever at Waddell & Reed to be co-branded with a property and casualty insurance agency. When an opportunity arose to reevaluate his business model, William decided to move the office away from the “captive” career system and affiliate with Cambridge Investment Research, an independent broker-dealer.

An opportunity to restructure a regional office for a mid-sized RIA led William to Arizona in 2015. “For some time, I was looking to relocate geographically. When the opportunity arose somewhat unexpectedly, I went for it.” Today, William calls Scottsdale home, both personally and professionally.

William has been on the board of the Financial Planning Association of Greater Phoenix since 2016 and was Chapter President in 2022. He previously served on the national Financial Planning Association® (FPA®) Advisory Council Executive Committee and the FPA® Technology Task Force. He has also been a contributor to various financial industry publications.

In his leisure time, William enjoys golf, mountain biking, skiing, traveling, following geopolitics, and hosting friends and family. He shares his passion for life with his “better half,” Tori, whom he married in 2020. Together, they have a son named Larston. William also has four adult sons—Liam, Lance Logan, and Lucas—who are at various levels of early work pursuits and higher education.

Office: Tucson, AZ

Email: [email protected]

Direct Phone: 520.884.7550

Fax: 602.734.5495

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Wills F. Marcello

CFP® Professional, AIF® | Wealth Advisor

As an independent Wealth Advisor, CERTIFIED FINANCIAL PLANNER® and Accredited Investment Fiduciary® (AIF®) with Ashton Thomas Private Wealth, Wills guides his clients through the process of investing and planning, specializing in wealth accumulation and wealth transfer strategies.

Wills grew up in Tucson, Arizona, and graduated from the University of Arizona’s McGuire Center for Entrepreneurship at the Eller College of Management. Wills enjoys staying active in the community and is a member of the Tucson chapter of Sons of the American Revolution.

“Risk management and financial planning are two components of one’s overall financial health that can often be overlooked,” states Wills. “As an AIF® designee, I understand the importance of thoroughly understanding a client’s goals. That is why a holistic approach to investing is so essential.”

Prior to joining Ashton Thomas, Wills was part of a private equity fund in Scottsdale, Arizona, where he built out a business incubator that included ventures in Arizona, Florida, Illinois, Oregon, and Texas. Prior to this, Wills lived in New York City, where he worked for a fintech firm focused on trading execution, connectivity, and reconciliation projects for global banking and exchange clients including Goldman Sachs, Barclays Capital, Bank of America, UBS, the New York Stock Exchange (NYSE), and the Chicago Mercantile Exchange (CME).

“The team at Ashton Thomas provides me with breadth and depth of support across a range of disciplines. This means I can provide my clients the solutions they need. The client is the focus of my advisory practice and Ashton Thomas helps me deliver time and again.”

Having traveled extensively throughout Europe, Central America, and Australia, Wills prefers backpacking, as it provides a closer connection to the surrounding locale. When he is not working, Wills enjoys fly fishing and sport fishing, traveling, and hanging out with his family and their French bulldogs, Briggs and Brylee.

Meet the Ashton Thomas Team

Firm Leadership +

Aaron Brodt

Drinan Gorney

Erica Bloudek

Kevin Kading

Wealth Planning +

Amy Kane

Cade Hammarquist

Chi Bui

Deanna Tierney

Julie Olander

Morgan Amos

Steve Leland

Asset Management +

Brandon Cromer

Claudiu Barbos

Justin Paniagua

Kodi Thruston

Randall Lee

Robert Clark

Ron Piccinini

Ross Fronk

Tax Advisory +

Abby Skeen

Blake Mattfeldt

Daniel Ritter, Jr.

Katie Leech

Rachel Black

Business Development +

AJ Shurts

Bonnie Sauer

Caryn Young

Gabrielle D’Agosta

Jennifer Beals

Lance T. Knight

Tanisha Branch

Operations +

Alex Demack

Eric Fontenot

Erica Bloudek

Jennifer Beals

Joseph Krasnov

Joyce McDonough

Michael Hansen

Tony Avalos

Client Services +

Alexander McBain

Amber Stovall

April Cardoza

Brianna Miller

Denise Cook

Eleonore Snow

Goda Stevens

Hunter Hendrix

Jessica Peabody

Jody Swapp

Julie Hendrickson

Justine Kinaj

Killian Gorman

Kristine Lantz

Lisa Mauser

Meghan Thomson

Melissa Hugget

Olivia Fisher

Paul Chapman

RaeAnn Yarn

Sandy Martin

Susie Register

Travis Nation

Compliance +

Becky L’Allier

Cathy Schultz

Cynthia Schlanger

Drinan Gorney

Kimberly Johnson

Marketing +

Amber Lamb

Emilie Kaer

Lexi Luciano