James Sumner is a registered investment advisor at Ashton Thomas Private Wealth, based in Scottsdale, AZ, with 15 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 2,569 clients with $4.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Ashton Thomas offers investment management services through a wrap program, where you pay a single annual fee that includes investment advice, trade execution, custody, and reporting. The annual wrap program fee ranges up to 2.99%, depending on the asset composition in the account. Ashton Thomas may use independent managers, and the total advisory fee will not exceed 2.99% per year. Ashton Thomas also offers non-wrap fee based investment advisory services, where fees are negotiable and may not exceed 2.99% of the assets managed.
Location
8605 East Raintree Drive, Suite 280, Scottsdale, AZ, 85260
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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James is a director for the Western Golf Association, dedicating minimal time to general board activities. He is also a director for the Multnomah Athletic Foundation, spending a few hours per week on community grant committee activities.
Employment History
Current Registrations
Ashton Thomas Private Wealth
Previous Registrations
Fortitude Advisory Group L.L.C.
Cetera Investment Services LLCBroker
Keybanc Capital Markets INC.Broker
Pacific Crest Securities LLCBroker
State Registrations1 state
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.