DFX Intelligence

Data Factory

RIA / WealthRegistered adviserbroker-dealer affiliated wealth managerSEC registeredRAUM 1b 10b

BOLTON GLOBAL ASSET MANAGEMENT

BOLTON SECURITIES CORP, CRD 129376

BOLTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:04ef030a-6792-7be8-8a80-b5c5f86957b2

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 260
Dated events: 32
On other graphs: 0
Observed: Mar 30, 2012 to Mar 31, 2026
39 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: broker-dealer affiliated wealth managerderivedprivate_client_share=0.51 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=false bd_reps=154.0
Regulatory AUM: $8.3BItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.8B
Private client RAUM: $4.2BderivedItem 5.D individuals plus high net worth individuals
Private client share: 51%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 150
RAUM per advisor: $55.2Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 158
Advisory employees: 110
Offices: 73Schedule D 1.F, beyond the principal office
Accounts: 7,320
Individual clients: 3,868
High net worth clients: 1,698
SEC number: 801-66962
CRD: 129376
Filings on the tape: 39
First filed: Mar 30, 2012
Latest filed: Mar 31, 2026
Organised: Corporation, DE
Website: boltoncapitalgroup.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 150

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
RONALD JAMES FREMAULT	n/a	BOLTON, MA	21	27	n/a	yes
DAPHNE JANE MAHLE	n/a	BOLTON, MA	20	21	1	yes
WILLIAM CARLTON DOW	Certified Financial Planner	FALMOUTH, ME \| BOLTON, MA	20	35	1	yes
RAYMOND GERARD GRENIER	n/a	BOLTON, MA	20	41	n/a	yes
MICHAEL JAMES BURKE	n/a	BOLTON, MA \| HOUSTON, TX	19	44	2	yes
CHARLES VINCENT SULLIVAN	Certified Financial Planner	North Andover, MA \| LOWELL, MA \| BOLTON, MA	19	32	n/a	yes
MICHAEL A PANSOVOY	n/a	BOLTON, MA \| LOWELL, MA \| NORTH ANDOVER, MA	19	38	n/a	yes
AVARD MORTON DOW	n/a	FALMOUTH, ME	18	32	n/a	yes
MICHAEL VERNON DOW	n/a	FALMOUTH, ME	18	35	n/a	yes
FLAVIO RAFAEL GONZALEZ	n/a	BOLTON, MA \| BROWNSVILLE, TX	18	39	1	yes
TOMAS ALBERTO ESTEVE	n/a	BROWNSVILLE, TX \| BOLTON, MA	18	33	1	yes
RICARDO PEDRO FILIZOLA	n/a	BOLTON, MA \| BROWNSVILLE, TX	18	28	1	yes
STEPHEN GEORGE MAYOR	n/a	BOLTON, MA \| CYPRESS, TX	17	28	2	yes
HARRY L TOKATLIAN	n/a	WINDHAM, NH \| BOLTON, MA	17	25	n/a	yes
ERIC PAUL ZINE	Certified Financial Planner	HINGHAM, MA \| BOLTON, MA	16	27	n/a	yes
VAUGHN LEE WOODS	Certified Financial Planner	BOLTON, MA \| LA JOLLA, CA	16	36	3	yes
RUSSELL BRADFORD DOW	n/a	BOLTON, MA \| LAKEWOOD, FL \| MIAMI, FL \| LAKEWOOD RANCH, FL \| FALMOUTH, ME	16	36	1	yes
ELIO EDUARDO KING	n/a	BOLTON, MA \| AUSTIN, TX	16	45	2	yes
HERBERT ANTHONY KLUKAS	n/a	BOLTON, MA \| CORAL GABLES, FL	16	34	2	yes
MARIA GUADALUPE NORTHAM	n/a	HOUSTON, TX \| BOLTON, MA	15	31	2	yes
CLIFFORD GEORGE DOW	n/a	GLENNALLEN, AK \| FALMOUTH, ME \| BOLTON, MA	14	35	n/a	yes
RICHARD PAUL BENOIT	n/a	BOLTON, MA \| LAKEWOOD RANCH, FL \| MIAMI, FL \| FALMOUTH, ME	14	14	n/a	yes
CYNTHIA LEE NIMS	n/a	GREENFIELD, MA \| BOLTON, MA	14	34	1	yes
KRISTINA MARIE PETIT	n/a	FALMOUTH, ME \| BOLTON, MA \| LAKEWOOD RANCH, FL	13	13	n/a	yes
ROBERT SAUL STEPLEMAN	n/a	FALMOUTH, ME \| BOLTON, MA	12	26	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BEALS, MATTHEW GEORGE	President	Na	yes	02/2025	Mar 31, 2026	Mar 31, 2026
BOLTON FINANCIAL GROUP, INC.	Shareholder	E	yes	07/1999	Mar 31, 2026	Mar 31, 2026
MAHLE, DAPHNE JANE	CHIEF COMPLIANCE OFFICER	Na	yes	01/2008	Mar 31, 2026	Mar 31, 2026
PRESKENIS, STEVEN CHRISTOPHER	CHIEF EXECUTIVE OFFICER	A	yes	01/2009	Mar 31, 2026	Mar 31, 2026
TARPEY, STEVEN R	CFO AND FINOP AND CHIEF ADMIN OFF.	Na	yes	02/2025	Mar 31, 2026	Mar 31, 2026
GRENIER, PHILIPPE BENJAMIN	VICE PRESIDENT OF TRADING	Na	yes	01/2004	Mar 30, 2012	Jul 29, 2024
GRENIER, PHILIPPE BENJAMIN	Trustee	F	yes	01/2004	Mar 30, 2012	Jul 29, 2024
BOLTON FINANCIAL GROUP, INC. VOTING TRUST	VOTING TRUST	F	no	01/2004	Apr 1, 2013	Jul 29, 2024
GRENIER, MARY LOUISE	BENEFICIAL OWNER	E	no	07/1999	Mar 30, 2012	Jul 29, 2024
GRENIER, RAYMOND LOUIS JR	SPOUSE OF BENEFICIAL OWNER	F	no	07/1999	Mar 30, 2012	Jul 29, 2024
HAYES, EUGENE FRANCIS JR	CFO & FINOP	A	no	07/1999	Mar 30, 2012	Jul 29, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Falmouth	Me	United States	8	yes
Miami	FL	United States	6	yes
Miami	FL	United States	5	yes
Miami	FL	United States	4	yes
Miami	FL	United States	4	yes
Brownsville	TX	United States	4	yes
Houston	TX	United States	4	yes
Lakewood	FL	United States	3	yes
Miami	FL	United States	3	yes
Miami	FL	United States	3	yes
Miami	FL	United States	3	yes
Miami	FL	United States	3	yes
Miami	FL	United States	3	yes
Miami	FL	United States	3	yes
Falmouth	Me	United States	3	yes
Scarsdale	NY	United States	3	yes
Danbury	Ct	United States	2	yes
CORAL GABLES	FL	United States	2	yes
Miami	FL	United States	2	yes
Miami	FL	United States	2	yes
Miami	FL	United States	2	yes
Miami	FL	United States	2	yes
Miami	FL	United States	2	yes
Miami	FL	United States	2	yes
NEW YORK	NY	United States	2	yes
NEW YORK	NY	United States	2	yes
Montevideo	n/a	Uruguay	2	yes
LA JOLLA	CA	United States	1	yes
Miami	FL	United States	1	yes
NORTH ANDOVER	Ma	United States	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$8.3B	$4.8B	158	110	73	n/a	n/a
2024	Mar 31, 2025	$7.0B	$3.7B	154	116	73	n/a	n/a
2023	Mar 30, 2024	$5.9B	$3.3B	153	115	65	n/a	n/a
2022	Mar 31, 2023	$3.6B	$2.2B	140	102	61	n/a	n/a
2021	Mar 31, 2022	$4.4B	$2.6B	1,060,430,120	120	50	n/a	n/a
2020	Mar 31, 2021	$3.3B	$1.8B	111	111	50	n/a	n/a
2019	May 29, 2020	$2.8B	$1.5B	127	91	50	n/a	n/a
2018	Mar 31, 2019	$2.1B	$1.1B	95	85	50	n/a	n/a
2017	Mar 29, 2018	$1.9B	$1.1B	88	86	48	n/a	n/a
2016	Mar 30, 2017	$1.5B	$862M	79	75	n/a	n/a	n/a
2015	Mar 31, 2016	$1.2B	$649M	66	63	n/a	n/a	n/a
2014	Mar 31, 2015	$1.3B	$868M	67	63	n/a	n/a	n/a
2013	Mar 28, 2014	$828M	$542M	67	63	n/a	n/a	n/a
2012	Apr 1, 2013	$657M	$548M	62	58	n/a	n/a	n/a
2011	Mar 30, 2012	$513M	$359M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
8	8	0	5.3%	2	1	0	25	18

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$8.3B	$7.0B	18.1%	$3.6B	31.7%	158	154	73	73

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
STONEX ADVISORS INC.	2	Dec 22, 2025	Nov 17, 2025	MIAMI, FL	Team lift out	RIA to ibd	1.4%
COMMONWEALTH FINANCIAL NETWORK	2	Oct 14, 2019	Oct 11, 2019	BOLTON, MA	Team lift out	Ibd to ibd	2.2%
FLAGSHIP HARBOR ADVISORS, LLC	3	Dec 15, 2015	Dec 11, 2015	BOLTON, MA	Team lift out	Other	4.8%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MORGAN STANLEY	4	Sep 20, 2023	Oct 6, 2023	MIAMI, FL	Team lift out	Wirehouse to RIA	0.0%
MORGAN STANLEY	2	Jun 6, 2023	Jun 19, 2023	AVENTURA, FL	Team lift out	Wirehouse to RIA	0.0%
WELLS FARGO ADVISORS	4	Aug 9, 2021	Dec 8, 2022	MIAMI, FL	Team lift out	Wirehouse to RIA	0.0%
WELLS FARGO ADVISORS	3	Jul 6, 2021	Jul 14, 2021	WESTON, FL	Team lift out	Wirehouse to RIA	0.0%
WELLS FARGO ADVISORS	2	May 18, 2021	Jun 29, 2023	WESTON, FL	Team lift out	Wirehouse to RIA	0.0%
WELLS FARGO ADVISORS	2	Apr 22, 2021	May 4, 2021	MIAMI, FL	Team lift out	Wirehouse to RIA	0.0%
WELLS FARGO ADVISORS	2	Mar 25, 2021	Apr 15, 2021	WESTON, FL	Team lift out	Wirehouse to ibd	0.0%
J.P. MORGAN SECURITIES LLC	2	Sep 20, 2018	Aug 30, 2018	HOUSTON, TX	Team lift out	Wirehouse to ibd	0.0%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	2	Apr 24, 2018	May 30, 2018	WESTON, FL	Team lift out	Wirehouse to ibd	0.0%
MORGAN STANLEY	2	Aug 29, 2017	Sep 28, 2017	NEW YORK, NY	Team lift out	Other	0.0%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	3	May 18, 2017	Jul 27, 2017	MIAMI, FL	Team lift out	Other	0.0%
WELLS FARGO ADVISORS	2	Sep 8, 2016	Dec 21, 2016	RIO DE JANEIRO	Team lift out	Other	0.0%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	4	May 31, 2016	Jan 1, 2025	CORAL GABLES, FL	Team lift out	Other	0.0%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	2	Feb 2, 2016	Mar 24, 2016	MIAMI, FL	Team lift out	Other	0.0%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	2	Nov 10, 2015	Dec 14, 2015	MIAMI, FL	Team lift out	Other	0.0%
MORGAN STANLEY	2	Apr 21, 2015	May 29, 2015	MIAMI, FL	Team lift out	Other	0.0%

Relationships

showing 80 of 260

Registered with (80)

← Edward Yervant Eric NaroianAdvisorregistration: current employment
Aug 12, 2026 to presentfactForm ADV
← Guilherme Luperi GuerraAdvisorregistration: current employment
Aug 5, 2026 to presentfactForm ADV
← Camila Margarita CortesAdvisorregistration: current employment
Aug 4, 2026 to presentfactForm ADV
← Jackson S SmithAdvisorregistration: current employment
Jul 14, 2026 to presentfactForm ADV
← KASSANDRA SANTANAAdvisorregistration: current employment
Jul 9, 2026 to presentfactForm ADV
← JAMES DAVID MOHRAdvisorregistration: current employment
Jul 8, 2026 to presentfactForm ADV
← Gabriella Isabel EspaillatAdvisorregistration: current employment
Jun 12, 2026 to presentfactForm ADV
← MARTHA ELENA CHINEAAdvisorregistration: current employment
Jun 5, 2026 to presentfactForm ADV
← GABRIEL FERREIRA RIZZOAdvisorregistration: current employment
Jun 5, 2026 to presentfactForm ADV
← Juan Carlos PernasAdvisorregistration: current employment
Jun 5, 2026 to presentfactForm ADV
← Maryam MattaAdvisorregistration: current employment
Mar 3, 2026 to presentfactForm ADV
← ALEXANDRO AMPUDIA TOMMASIAdvisorregistration: current employment
Jan 9, 2026 to presentfactForm ADV
← CRISTINA CLARIBEL ACOSTAAdvisorregistration: current employment
Jan 5, 2026 to presentfactForm ADV
← Eduardo Enrique AguerrevereAdvisorregistration: current employment
Dec 23, 2025 to presentfactForm ADV
← MITCHELL EDWIN SCANLONAdvisorregistration: current employment
Dec 23, 2025 to presentfactForm ADV
← Luisana TorresAdvisorregistration: current employment
Dec 16, 2025 to presentfactForm ADV
← Catalina Mercedes BallestasAdvisorregistration: current employment
Nov 21, 2025 to presentfactForm ADV
← VICTOR KELVIN HERNANDEZAdvisorregistration: current employment
Apr 30, 2025 to presentfactForm ADV
← LARRY RAPHAEL ROZASAdvisorregistration: current employment
Apr 14, 2025 to presentfactForm ADV
← MONICA PIERA CALABRESEAdvisorregistration: current employment
Mar 28, 2025 to presentfactForm ADV
← SOFIA BUCAYAdvisorregistration: current employment
Mar 24, 2025 to presentfactForm ADV
← JOHNNY ZIGHELBOIMAdvisorregistration: current employment
Mar 19, 2025 to presentfactForm ADV
← Andres Alberto AstudilloAdvisorregistration: current employment
Mar 19, 2025 to presentfactForm ADV
← ELI BUTNARUAdvisorregistration: current employment
Mar 7, 2025 to presentfactForm ADV
← MADELINE SIMONE RHEAUMEAdvisorregistration: current employment
Feb 25, 2025 to presentfactForm ADV
← DOMINGO ANTONIO ESTEVEZAdvisorregistration: current employment
Jan 23, 2025 to presentfactForm ADV
← MIGUEL ANDRES BALLESTASAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← ERICK DAVID MEJIAAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← FELIPE ANTONIO BALLESTASAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← SORAYA BATISTA-GARCIAAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
and 50 more

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Show 2 bookkeeping events

Occurred
Mar 31, 2025
Bolton Global Asset Management reported 73 offices beyond its principal office, up from 65 (2024-07-29 to 2025-03-31)
Occurred
Mar 31, 2023
Bolton Global Asset Management reported 61 offices beyond its principal office, up from 50 (2022-05-23 to 2023-03-31)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:04ef030a-6792-7be8-8a80-b5c5f86957b2
First observed: Mar 30, 2012
Last observed: Mar 31, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.