DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Capital Wealth Management, LLC

Independent wealth managerWest Warwick, Rhode IslandCRD 157959SEC 801-76539website IAPD

Latest filing Jul 8, 2026

First filing on the tape Apr 11, 2012 · 46 filings

SEC status approved since May 11, 2012

RAUM

$1.1B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

68%

$773M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$94.8M

derived; firm RAUM over IAPD count

Employees

9 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

46 filings and snapshots on the tape

RAUM$1.1B as of Jul 8, 2026

Mar 13, 2013$224M then

HNW client RAUM$726M as of Jul 8, 2026

Mar 27, 2018$146M then

State-registered IARs (5.B.3)9 as of Jul 8, 2026

Mar 13, 20138 then

Employees (5.A)16 as of Jul 8, 2026

Mar 13, 201311 then

Private funds: no history

RAUM +14% over the last fiscal year+14% a year over threeIARs 8 to 9offices 1 to 0

Practice profile

derived from the filing of Jul 8, 2026; every figure names its basis

Archetypes, each a printed rule

Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control

RAUM per advisor: $94.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 50derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.7MderivedHNW RAUM over HNW clients
Average account: $1.7MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 32%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 12.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +14%derivedbetween the last two annual amendments
Advisor growth, one year: +13%derivedItem 5.B.3 between annual amendments
Client growth, one year: +5.2%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
Custody: $200M, 219 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

is an insurance broker or agent (6.A.6)
buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$726M64%
Pension and profit-sharing plans$363M32%
Individuals$47.4M4.2%
Charitable organizations$530,5520.0%
Corporations and businesses$473,4780.0%

Individual clients: 180reported
HNW clients: 423reported
Pension plan clients: 52reported
Charitable clients: n/areported
Accounts: 660reported
Financial planning clients: 251-500reported
Wrap fee programs: noreported
Custody of client assets: $200M for 219 clientsreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=0.68 fund_share=0.0 institutional_share=0.32 related_bd=false related_bank=false bd_reps=6.0derived

Advisors registered through the firm

12 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Peter James AlofsinCertified Financial Planner	West Warwick, Ri	Aug 5, 2011	31 y	2
Lee Alan DuckworthCertified Financial Planner	West Warwick, Ri	Aug 5, 2011	30 y	2
Curt A Caserta	West Warwick, Ri	Oct 17, 2011	30 y	1
Brian Andrew GlatzCertified Financial Planner	West Warwick, Ri	Mar 22, 2012	14 y	0
Bernard Allan Poirier	West Warwick, Ri	May 16, 2012	34 y	1
Michael G. Perreault	West Warwick, Ri	Aug 31, 2016	31 y	0
Lawrence Francis DooleyChartered Financial Analyst	West Warwick, Ri	Mar 24, 2017	18 y	2
James Boyd Speights	West Warwick, Ri	Jun 2, 2017	39 y	3
Tyler Currie Duckworth	West Warwick, Ri	Mar 20, 2023	13 y	0
Jameson Charles Duckworth	West Warwick, Ri	Apr 7, 2023	14 y	1
Shane M Jedson	West Warwick, Ri	Dec 19, 2025	11 y	0
Garrett Joseph Marcoux	West Warwick, Ri	Mar 12, 2026	10 y	0

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months

Left, latest

Rebecca Records to Global Retirement Partners LLC
Jan 16, 2025 · Other
Michael Shayne Ruffing to Integrated Wealthcare, LLC
Sep 20, 2021 · RIA to a newly registered adviser

Joined, latest

Jameson Charles Duckworth from MML Investors Services, LLC
Apr 7, 2023 · Affiliated broker-dealer or bank to independent RIA
James Boyd Speights from Sii Investments, Inc.
Jun 2, 2017 · Other
Lawrence Francis Dooley from Woodstock Corporation
Mar 24, 2017 · Other
Bernard Allan Poirier from New England Management Consulting Services, Inc.
May 16, 2012 · Other
Michael Shayne Ruffing from Nfp Advisor Services, LLC
May 11, 2012 · Other
Curt A Caserta from Nfp Advisor Services, LLC
Oct 17, 2011 · Other
Lee Alan Duckworth from Steele Capital Management, Inc.
Aug 5, 2011 · Other
Peter James Alofsin from Steele Capital Management, Inc.
Aug 5, 2011 · Other
Rebecca Records from Nfp Advisor Services, LLC
Aug 2, 2011 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Francis Lawrence Dooley · Chief Investment Officercontrol
since 03/2017 · owns less than 5%
Alan Lee Duckworth · President, Chief Executive Officer And Chief Compliance Officercontrol
since 05/2010 · owns less than 5%
Alan Lee Duckworth · Shareholdercontrol
since 05/2010 · owns 75% or more of Capital Wealth Inc.
Andrew Brian Glatz · Director Of Research
since 01/2017 · owns less than 5%
Ann Rebecca Records · Director Of Retirement Plan Services
since 02/2021 · owns less than 5%

Entity owners

Capital Wealth Holdings, LLC · Managing Member
direct · owns 75% or more
Capital Wealth Inc. · Member
indirect · owns 75% or more of Capital Wealth Holdings, LLC

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
West Warwick, Ri · principal	12	2	0

Offices

Schedule D 1.F, the 25 largest

Warwick, RI1 employees

What changed

consecutive filings, newest first

Accounts · 632 to 660
Jan 20, 2026 to Mar 18, 2026
BD registered reps · 7 to 6
Jan 20, 2026 to Mar 18, 2026
HNW clients · 424 to 423
Jan 20, 2026 to Mar 18, 2026
Individual clients · 149 to 180
Jan 20, 2026 to Mar 18, 2026
Pension plan clients · 55 to 52
Jan 20, 2026 to Mar 18, 2026
Assets in custody · unset to 199649962.0
Jan 20, 2026 to Mar 18, 2026
Custody of client assets · false to true
Jan 20, 2026 to Mar 18, 2026
Employees · 17 to 16
Jan 20, 2026 to Mar 18, 2026
State-registered IARs · 8 to 9
Jan 20, 2026 to Mar 18, 2026
Discretionary RAUM · $1.0B to $1.1B
Jan 20, 2026 to Mar 18, 2026
HNW RAUM · $634M to $726M
Jan 20, 2026 to Mar 18, 2026
Individual RAUM · $30.6M to $47.4M
Jan 20, 2026 to Mar 18, 2026
Non-discretionary RAUM · $0 to $635,867
Jan 20, 2026 to Mar 18, 2026
Pension RAUM · $336M to $363M
Jan 20, 2026 to Mar 18, 2026
RAUM · $1.0B to $1.1B
Jan 20, 2026 to Mar 18, 2026
Financial planning clients · 251-500 to 251-500
Apr 18, 2025 to Jul 24, 2025
Other offices · 1 to 0
Apr 18, 2025 to Jul 24, 2025
Accounts · 601 to 632
Dec 3, 2024 to Apr 18, 2025
Advisory employees · 8 to 9
Dec 3, 2024 to Apr 18, 2025
Advisory activities · 4 to 5
Dec 3, 2024 to Apr 18, 2025
BD registered reps · 8 to 7
Dec 3, 2024 to Apr 18, 2025
HNW clients · 415 to 424
Dec 3, 2024 to Apr 18, 2025
Individual clients · 126 to 149
Dec 3, 2024 to Apr 18, 2025
Pension plan clients · 58 to 55
Dec 3, 2024 to Apr 18, 2025
Financial planning clients · 0 to 251-500
Dec 3, 2024 to Apr 18, 2025
State-registered IARs · 10 to 8
Dec 3, 2024 to Apr 18, 2025
Discretionary RAUM · $858M to $1.0B
Dec 3, 2024 to Apr 18, 2025
HNW RAUM · $575M to $634M
Dec 3, 2024 to Apr 18, 2025
Individual RAUM · $22.5M to $30.6M
Dec 3, 2024 to Apr 18, 2025
Pension RAUM · $260M to $336M
Dec 3, 2024 to Apr 18, 2025
RAUM · $858M to $1.0B
Dec 3, 2024 to Apr 18, 2025
Accounts · 551 to 601
Nov 2, 2023 to Mar 18, 2024
HNW clients · 403 to 415
Nov 2, 2023 to Mar 18, 2024
Individual clients · 83 to 126
Nov 2, 2023 to Mar 18, 2024
Pension plan clients · 63 to 58
Nov 2, 2023 to Mar 18, 2024
Discretionary RAUM · $772M to $858M
Nov 2, 2023 to Mar 18, 2024
HNW RAUM · $524M to $575M
Nov 2, 2023 to Mar 18, 2024
Individual RAUM · $13.3M to $22.5M
Nov 2, 2023 to Mar 18, 2024
Pension RAUM · $233M to $260M
Nov 2, 2023 to Mar 18, 2024
RAUM · $772M to $858M
Nov 2, 2023 to Mar 18, 2024

Signals

3 dated events

Rebecca Records left Capital Wealth Management, Llc for Global Retirement Partners Llc (registered 2025-10-16)
Jan 16, 2025 · Advisor changed firm · fact
Capital Wealth Management, Llc reported RAUM $568.7M, up 25% from $453.9M (2019-08-21 to 2020-03-16)
Mar 16, 2020 · RAUM change · derived
Capital Wealth Management, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
Jan 8, 2018 · Succession (Item 4) · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Business email: lee@capitalwealthllc.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: jackie@capitalwealthllc.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: jen@capitalwealthllc.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: myadvisor@capitalwealthllc.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: ashley@capitalwealthllc.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: kevin@capitalwealthllc.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: laura@capitalwealthllc.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 401-884-4600reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 401-885-1060reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 401-885-7030reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: linkedin.com/company/capital-wealth-management-inc--ri-usa-reportedpublic record, Form ADV, Sep 17, 2026
Website: capitalwealthllc.comreportedpublic record, Form ADV, Sep 17, 2026

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $94.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026