Broker-dealer firm · Bolton, MA
Bolton Global Asset Management
Bolton Securities Corp · SEC-registered investment adviser · CRD 129376 · SEC 801-66962
At a glance
Bolton Global Asset Management is an SEC-registered investment adviser based in Bolton, Massachusetts, with $8.3 billion in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is corporations or other businesses, and it reports 5,566 individual clients. By Form ADV it is a broker-dealer firm, ranked 78th of 391 broker-dealer firms and 1,533rd of 17,210 SEC-registered advisers by assets.
Main office 978-779-5361boltoncapitalgroup.comAs filed on Form ADV
- Regulatory AUM
- $8.3B
- Rank among broker-dealer firms
- #78 of 391
- Rank among all SEC RIAs
- #1,533 of 17,210
- Rank in Massachusetts
- #110 of 627
- Individual clients
- 5,566
- High-net-worth clients
- 1,698
- Accounts
- 7,320
- Discretionary
- 58% of AUM
- Employees
- 158
- Advisory staff
- 110
- Offices
- 74
Owners and executives on its Form ADV
- Steven Christopher PreskenisChief Executive Officer
- Daphne Jane MahleChief Compliance Officer
- Steven R TarpeyCFO and Finop
- John Gennaro CataldoChief Legal Officer and Chief Admin OFF.
- Matthew George BealsPresident
Custody and brokerage
Broker-dealer
Hybrid RIA
Bolton Global Asset Management is a hybrid RIA: 154 of its employees are also registered representatives of a broker-dealer. It reports a broker-dealer among its affiliates on Form ADV.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Corporations or other businesses | 1,690 | $3.8B | 45% |
| High-net-worth individuals | 1,698 | $2.6B | 32% |
| Individuals | 3,868 | $1.6B | 19% |
| Pension and profit sharing plans | 79 | $157M | 2% |
| Charitable organizations | 28 | $111M | 1% |
| Banking or thrift institutions | 2 | $7M | <1% |
Disciplinary disclosures
Bolton Global Asset Management answers yes to 15 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗boltoncapitalgroup.com ↗
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The full record on Bolton Global Asset Management
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 76 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Bolton Global Asset Management manage?
Bolton Global Asset Management reports $8.3 billion in regulatory assets under management across 7,320 accounts, 58% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Bolton Global Asset Management?
Bolton Global Asset Management is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Bolton Global Asset Management’s clients?
By assets, its largest client types are corporations or other businesses ($3.8 billion, 1,690 clients); high-net-worth individuals ($2.6 billion, 1,698 clients); individuals ($1.6 billion, 3,868 clients).
Does Bolton Global Asset Management have any disciplinary history?
Bolton Global Asset Management answers yes to 15 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Bolton Global Asset Management’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →