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CRD 157959
WEST WARWICK, RI
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| LEE ALAN DUCKWORTH | Certified Financial Planner | WEST WARWICK, RI | 15 | 30 | 2 | yes |
| PETER JAMES ALOFSIN | Certified Financial Planner | WEST WARWICK, RI | 15 | 31 | 2 | yes |
| CURT A CASERTA | n/a | WEST WARWICK, RI | 14 | 30 | 1 | yes |
| BRIAN ANDREW GLATZ | Certified Financial Planner | WEST WARWICK, RI | 14 | 14 | n/a | yes |
| BERNARD ALLAN POIRIER | n/a | WEST WARWICK, RI | WARWICK, RI | 14 | 34 | 1 | no |
| MICHAEL G. PERREAULT | n/a | WEST WARWICK, RI | 10 | 31 | n/a | no |
| LAWRENCE FRANCIS DOOLEY | Chartered Financial Analyst | WEST WARWICK, RI | 9 | 18 | 2 | no |
| JAMES BOYD SPEIGHTS | n/a | WEST WARWICK, RI | 9 | 39 | 3 | yes |
| TYLER CURRIE DUCKWORTH | n/a | WEST WARWICK, RI | 3 | 13 | n/a | no |
| JAMESON CHARLES DUCKWORTH | n/a | WEST WARWICK, RI | 3 | 14 | 1 | yes |
| SHANE M JEDSON | n/a | WEST WARWICK, RI | 0 | 11 | n/a | no |
| GARRETT JOSEPH MARCOUX | n/a | WEST WARWICK, RI | 0 | 10 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CAPITAL WEALTH HOLDINGS, LLC | MANAGING MEMBER | E | yes | 01/2018 | Jul 8, 2026 | Jul 8, 2026 |
| DOOLEY, LAWRENCE, FRANCIS | CHIEF INVESTMENT OFFICER | Na | yes | 03/2017 | Jul 8, 2026 | Jul 8, 2026 |
| DUCKWORTH, LEE, ALAN | PRESIDENT, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | Na | yes | 05/2010 | Jul 8, 2026 | Jul 8, 2026 |
| CAPITAL WEALTH INC. | Member | E | yes | 01/2018 | Mar 29, 2023 | Dec 3, 2024 |
| DUCKWORTH, LEE, ALAN | Shareholder | E | yes | 05/2010 | Apr 11, 2012 | Dec 3, 2024 |
| GLATZ, BRIAN, ANDREW | DIRECTOR OF RESEARCH | Na | no | 01/2017 | Jul 8, 2026 | Jul 8, 2026 |
| RECORDS, REBECCA, ANN | DIRECTOR OF RETIREMENT PLAN SERVICES | Na | no | 02/2021 | Mar 18, 2021 | Dec 3, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Warwick | Ri | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 16, 2026 | $1.1B | $1.1B | 16 | 9 | 0 | n/a | n/a |
| 2024 | Apr 18, 2025 | $1.0B | $1.0B | 17 | 9 | 1 | n/a | n/a |
| 2023 | Mar 18, 2024 | $858M | $858M | 17 | 8 | 1 | n/a | n/a |
| 2022 | Mar 29, 2023 | $772M | $772M | 17 | 8 | 1 | n/a | n/a |
| 2021 | Mar 27, 2022 | $765M | $723M | 16 | 8 | 1 | n/a | n/a |
| 2020 | Mar 18, 2021 | $650M | $595M | 20 | 9 | 2 | n/a | n/a |
| 2019 | Mar 16, 2020 | $569M | $501M | 21 | 9 | 2 | n/a | n/a |
| 2018 | Mar 28, 2019 | $454M | $364M | 19 | 9 | 3 | n/a | n/a |
| 2017 | Mar 27, 2018 | $428M | $295M | 19 | 10 | 3 | n/a | n/a |
| 2016 | Mar 30, 2017 | $346M | $182M | 15 | 8 | n/a | n/a | n/a |
| 2015 | Mar 24, 2016 | $274M | $141M | 13 | 8 | n/a | n/a | n/a |
| 2014 | Mar 16, 2015 | $258M | $136M | 12 | 8 | n/a | n/a | n/a |
| 2013 | Mar 26, 2014 | $219M | $110M | 11 | 8 | n/a | n/a | n/a |
| 2012 | Mar 13, 2013 | $224M | $122M | 11 | 8 | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.1B | $1.0B | 13.6% | $772M | 13.8% | 16 | 17 | 0 | 1 |