Affiliations & Client Protections

Bolton Global Capital 

  • Dow Capital Management, LLC utilizes Bolton Global Capital, Inc. for broker/dealer services and Bolton Global Asset Management for advisory services.Bolton Global Capital provides administrative, operational, and regulatory support to Dow Capital Management.
  • Bolton’s business is focused primarily on traditional direct investing rather than the distribution of packaged investment products such as mutual funds, hedge funds, and deferred annuities.
  • Bolton Global Asset Management is an SEC-registered investment advisor and affiliate of Bolton Global Capital, Inc.

Pershing LLC

  • Client brokerage accounts are held by Pershing LLC, and securities transactions are processed through Pershing. Pershing is an affiliate of BNY Mellon, the nation’s oldest bank, founded in 1784.
  • Pershing is one of the world’s largest securities clearing firms and provides clearing, custody, and account servicing for financial institutions and investment advisors worldwide. The firm is a member of the New York Stock Exchange and other major U.S. securities exchanges.
  • Pershing is also a member of the **Securities Investor Protection Corporation (SIPC)**. SIPC protection covers up to $500,000 per client account, including up to $250,000 for uninvested cash, in the event of a brokerage firm failure. Pershing also maintains excess SIPC coverage through a consortium of private insurers. Neither SIPC protection nor excess SIPC coverage protects against losses resulting from market fluctuations.