Broker Check


Elm Tree Capital provides clients the best of all worlds: superior service, independence, global scale, and financial institution security.

We are local and privately owned, which means we are free to represent your best interests and focus our time and energies on you. This allows us to be objective, take a long term view, and concentrate on your needs.

We provide the economies of scale and global reach with our trusted clearing and custodial partner, Pershing LLC, the world’s leading correspondent clearing firm and one of the broadest, most innovative platforms in the industry. Pershing, member FINRA, NYSE, SIPC, has approximately $1.8 trillion in global client assets held in custody and is a wholly owned subsidiary of Bank of New York Mellon Corporation (BNY), the oldest banking concern in the United States. BNY, member FINRA, NYSE, SIPC, is one of the world’s largest global custodians, has approximately $46.9 trillion in assets under custody and/or administration and $1.9 trillion in assets under management with locations across 6 continents in 30 countries. Clients of BNY Mellon's Pershing include advisors, broker-dealers, family offices, fund managers, registered investment advisor firms and wealth managers who represent approximately 7.5 million investor accounts globally.

Clients will also benefit from the support and supervision provided by our broker-dealer, Bolton Global Capital. For more than 30 years, Bolton has provided independent wealth management services to a global clientele. As a privately held company, Bolton has grown its business from a small firm operating in the Boston area to a major institution with offices and clients across the US and around the globe. Today, the firm has more than 50 affiliated offices worldwide managing over $12 billion in client assets (as of December 31, 2021).

Bolton Global Capital is a FINRA and SEC registered broker dealer and SIPC member firm licensed to conduct business in all 50 US states. Advisory services are provided through Bolton Global Asset Management, a SEC registered investment advisor.

All figures as of June 30, 2023, unless otherwise noted.

Have a Question?

Thank you!