Mark Cavalier
Mark Cavalier is a registered investment advisor at Ashton Thomas Securities, LLC, based in San Francisco, CA, with 44 years of industry experience. Mark operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Insurance Planning, Investment Management, Retirement Planning. Their firm serves 2,599 clients with $1.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Ashton Thomas Securities offers investment management services where you pay an annual percentage of your account value. The exact percentage depends on the specific program you choose. These programs include FB Advisory, Managed ETF Portfolios, and Morningstar Managed Portfolios. Fees are billed monthly or quarterly in advance, depending on the program. Additional expenses may include brokerage trading costs and custodial fees for retirement accounts. Wrap fee programs bundle investment advisory, trade execution, custody, and reporting fees into a single annual fee.
Location
580 California Street, Suite 2000, San Francisco, CA, 94104
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Regulatory History (1)
Customer Dispute
March 2009Other 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
Ashton Thomas Securities, LLCBroker
Ashton Thomas Private Wealth
Ashton Thomas Securities, LLC
Previous Registrations
Wells Fargo Advisors
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Investments, LLC
Wells Fargo Investments, LLCBroker
Wells Fargo Securities INC.Broker
Money Market 1 Institutional Investment DealerBroker
Smith Barney INC.Broker
Lehman Special Securities INC.Broker
Lehman Government Securities INC.Broker
Lehman Brothers Kuhn Loeb IncorporatedBroker
Lehman Brothers INC.Broker
Paine, Webber, Jackson & Curtis INC.Broker
State Registrations40 states
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.