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Mark Cavalier

Ashton Thomas Securities, LLC
44 Years of Experience
San Francisco, CA
1 DisclosureBroker
View SEC Summary
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Mark Cavalier is a registered investment advisor at Ashton Thomas Securities, LLC, based in San Francisco, CA, with 44 years of industry experience. Mark is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Corporate Executives, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 2,282 clients with $1.9B in assets under management.

Ashton Thomas Securities, LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
72 advisors
Number of Clients
2,282 clients
Average Client Portfolio
$815K average
Assets Under Management
$1.9B

Fee Structure

Planning is included in investment management
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.99%

Maximum annual advisory fees vary by program: FB1 up to 1.50%, FB2 up to 1.25%, FB3 up to 1.00%, Managed ETF up to 1.50%, Morningstar Portfolios up to 1.50%, and AS8/AS9/Non-wrap/Wrap programs up to 2.99%. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

580 California Street, Suite 2000, San Francisco, CA, 94104

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2009
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Mark co-owns Cavalier Equestrians LLC, acquiring, training, showing, and selling racehorses, dedicating a few hours per week. He is also an investor in Salon HQ, an e-commerce business for salon products, spending minimal time. Mark works full-time as an investment advisor at Ashton Thomas Private Wealth, LLC.

Employment History
Current Registrations
Ashton Thomas Securities, LLC
January 2026 - Present · 9 mos
Ashton Thomas Securities, LLCBroker
January 2025 - Present · 1 yr 9 mos
Ashton Thomas Private Wealth
January 2025 - Present · 1 yr 9 mos
Ashton Thomas Securities, LLC
January 2025 - Present · 1 yr 9 mos
Previous Registrations
Wells Fargo Advisors
January 2011 - January 2025 · 14 yrs
Wells Fargo Clearing Services, LLCBroker
January 2011 - January 2025 · 14 yrs
Wells Fargo Investments, LLC
May 2001 - January 2011 · 9 yrs 8 mos
Wells Fargo Investments, LLCBroker
May 2001 - January 2011 · 9 yrs 8 mos
Wells Fargo Securities INC.Broker
October 1996 - May 2001 · 4 yrs 7 mos
Money Market 1 Institutional Investment DealerBroker
December 1995 - October 1996 · 10 mos
Smith Barney INC.Broker
July 1993 - March 1996 · 2 yrs 8 mos
Lehman Special Securities INC.Broker
July 1992 - April 1993 · 9 mos
Lehman Government Securities INC.Broker
July 1992 - April 1993 · 9 mos
Lehman Brothers Kuhn Loeb IncorporatedBroker
April 1983 - June 1984 · 1 yr 2 mos
Lehman Brothers INC.Broker
March 1983 - July 1993 · 10 yrs 4 mos
Paine, Webber, Jackson & Curtis INC.Broker
September 1981 - February 1983 · 1 yr 5 mos
State Registrations40 states
ARAZCACOCTDCDEFLGAHIIAIDILINKSKYMAMDMIMNMOMSMTNCNJNVNYOHORPARISCSDTXUTVAVTWAWIWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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Mark Cavalier - Financial Advisor | TrueAdvisor