BOLTON GLOBAL ASSET MANAGEMENT
BOLTON SECURITIES CORP Legal Name
Adviser information for BOLTON GLOBAL ASSET MANAGEMENT last updated from Form ADV on March 30th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 153 |
|---|---|
| Investment Advisory/Research | 115 |
| Registered Broker-Dealer Representatives | 148 |
| Registered State Investment Advisers | 120 |
| Licensed Agents of an Insurance Company | 50 |
| No. of Firms/People that Solicit Clients | 25 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3,807 | $3.3B |
| Non-Discretionary | 2,410 | $2.5B |
| Total | 6,217 | $5.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 3,375 | $1.4B |
| HNW Individuals | 1,440 | $1.3B |
| Banking or thrift institutions | 4 | $24.9M |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 71 | $142.1M |
| Charitable organizations | 28 | $102.7M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 1,299 | $2.9B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 37 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissionsPerformance-based fees |
| Other Business Activities | Broker-dealerFutures commission merchant |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 1.4B |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| BOLTON GLOBAL ASSET MANAGEMENT WRAP PROGRAM | BOLTON GLOBAL ASSET MANAGEMENT |
Identifiers
| SEC RIA File Number | 801-66962 |
|---|---|
| SEC ERA File Number | 801-66962 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 129376 |
| Legal Entity Identifier | None |
Principal Office
579 MAIN STREETBOLTON
MA
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 978.779.5361, Fax: None
Websites
Chief Compliance Officer
JANE MAHLE
CHIEF COMPLIANCE OFFICER
579 MAIN STREET
BOLTON
MA
United States
Tel:
9782965512
J*****@***************M
(Full email address available in API data)
Regulatory Contact
JOHN CATALDO
CHIEF LEGAL OFFICER
579 MAIN STREET
BOLTON
MA
United States
Tel:
9782965515
J*******@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HAYES, EUGENE FRANCIS JR | Individual | – | CFO & FINOP | 07/1999 | 5-10% |
| GRENIER, PHILIPPE BENJAMIN | Individual | – | VICE PRESIDENT OF TRADING | 01/2004 | < 5% |
| BOLTON FINANCIAL GROUP, INC. | Domestic Entity | – | SHAREHOLDER | 07/1999 | > 75% |
| PRESKENIS, STEVEN CHRISTOPHER | Individual | – | PRESIDENT & CHIEF COMPLIANCE OFFICER | 01/2009 | 5-10% |
| GRENIER, PHILIPPE BENJAMIN | Individual | BOLTON FINANCIAL GROUP, INC. VOTING TRUST | TRUSTEE | 01/2004 | |
| BOLTON FINANCIAL GROUP, INC. VOTING TRUST | Domestic Entity | BOLTON FINANCIAL GROUP, INC. | VOTING TRUST | 01/2004 | |
| GRENIER, MARY LOUISE | Individual | BOLTON FINANCIAL GROUP | BENEFICIAL OWNER | 07/1999 | > 75% |
| MAHLE, DAPHNE JANE | Individual | – | CHIEF COMPLIANCE OFFICER(IA) | 01/2008 | < 5% |
| GRENIER, RAYMOND LOUIS JR | Individual | BOLTON FINANCIAL GROUP | SPOUSE OF BENEFICIAL OWNER | 07/1999 |