April Horace

ASHTON THOMAS PRIVATE WEALTH

Denver, CO

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CRD#: 4439658

Professional summary

April Horace is a registered financial advisor currently at ASHTON THOMAS PRIVATE WEALTH located in Denver, Colorado.

April is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. April has worked at 6 firms and has passed the Series 65, Series 86, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) SIH Development; Not Investment-Related; 4300 E. Main Farmington, NM; Commercial Real Estate; Owner/Manager; 06/2012; 3 hours per month; Oversee property managers. 2) Interwest, LLC; 400 E. Main, Farmington, NM; Real Estate; Member; 06/2012; 3 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view April Horace's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 5, 2019 - Present

ASHTON THOMAS PRIVATE WEALTH

Office #2: 2955 East First Avenue Suite 300, Denver, CO 80206

RIA

CRD#: 153902

Denver, CO

Past

July 3, 2018 - December 26, 2019

ALPHA CAPITAL MANAGEMENT GROUP LLC

RIA

CRD#: 283624

CENTENNIAL, CO

Past

August 31, 2012 - July 31, 2018

DYNAMIC

RIA

CRD#: 151367

DENVER, CO

Past

June 6, 2012 - September 12, 2012

STAY TUNED CAPITAL LLC

RIA

CRD#: 159542

DENVER, CO

Past

November 30, 2006 - February 27, 2009

JANCO PARTNERS, INC.

CRD#: 40055

GREENWOOD VILLAGE, CO

Past

April 29, 2005 - July 11, 2006

HOEFER & ARNETT, INCORPORATED

CRD#: 10883

SAN FRANCISCO, CA

Past

October 12, 2001 - April 29, 2005

JANCO PARTNERS, INC.

CRD#: 40055

GREENWOOD VILLAGE, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ASHTON THOMAS PRIVATE WEALTH

CRD#: 153902 / SEC#: 801-71512

RIA

Registered Investment Advisory firm - (6/15/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(10/5/2019)

IAR

Georgia
(10/22/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/5/2011

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 86

Date: 2/28/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 2/1/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 10/11/2001

General Securities Representative Examination

Current Firm

ASHTON THOMAS PRIVATE WEALTH

CRD#: 153902 / SEC#: 801-71512

RIA

Registered Investment Advisory firm - (6/15/2010 Approved)

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Contact information

Main Address

8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260

Mailing Address

Phone number

(602) 732-4745

Established

Firm type

Fiscal year end

# of Employees

114

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A, APPENDIX 1 WRAP FEE PROGRAM BROCHURE (5/5/2025)

ADV PART 2A FIRM BROCHURE (5/5/2025)

Regulatory assets under management

Total Number of Accounts	6,733
AUM (Assets Under Management)	$ 4,051,333,740

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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April Horace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view April Horace's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPHA CAPITAL MANAGEMENT GROUP LLC

DYNAMIC

STAY TUNED CAPITAL LLC

JANCO PARTNERS, INC.

HOEFER & ARNETT, INCORPORATED

JANCO PARTNERS, INC.

Primary Firm SEC Registration

ASHTON THOMAS PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 10/5/2011

Series 86

Date: 2/28/2005

Series 87

Date: 2/1/2005

Series 7

Date: 10/11/2001

Current Firm

ASHTON THOMAS PRIVATE WEALTH

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASHTON THOMAS PRIVATE WEALTH

TRUST BUT VERIFY

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