Capital Wealth Management, Llc
- Regulatory AUM
- $1.1B
- Discretionary
- $1.1B
- Clients
- 655
- Avg AUM / client
- $1.7M
- Accounts
- 660
- Employees
- 16
AUM over time
Annual snapshots from Form ADV filings · as of Jul 08, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 180 | $47.4M | 4.17% |
| High net worth individuals | 423 | $726M | 63.8% |
| Pension and profit sharing plans | 52 | $363M | 31.9% |
| Charitable organizations | Fewer than 5 clients | $531K | 0.05% |
| Corporations and other businesses | Fewer than 5 clients | $473K | 0.04% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Plan International Usa, Inc. Retirement Plan Plan International Usa, Inc. | 2024 | |
| Beltone New England 401(k) Plan Beltone New England | 2024 | |
| Medical Associates Of Rhode Island, Inc. 401(k) Plan Medical Associates Of Rhode Island, Inc. | 2024 | |
| Pet Food Experts, Inc. 401(k) And Profit Sharing Plan Pet Food Experts, Inc. | 2024 | |
| Thielsch Engineering Inc. 401(k) Savings Plan Thielsch Engineering, Inc. | 2024 | |
| Rodefer Moss & Co, Pllc 401(k) Profit Sharing Plan Rodefer Moss & Co, Pllc | 2024 |
People (13)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Lee Alan Duckworth | President, Chief Executive Officer And Chief Compliance Officer | CFP | May 2010 (16y) | ≈ 42.19% – 100% via Capital Wealth Inc. |
| Brian Andrew Glatz | Director Of Research | CFP | Mar 2012 (14y) | Less than 5% |
| Lawrence Francis Dooley | Chief Investment Officer | CFA | Mar 2017 (9y) | Less than 5% |
| Rebecca Records | Director Of Retirement Plan Services | Feb 2021 (6y) | Less than 5% | |
| Peter James Alofsin | Registered representative | CFP | Aug 2011 (15y) | |
| Curt A Caserta | Registered representative | Oct 2011 (15y) | ||
| Bernard Allan Poirier | Registered representative | May 2012 (14y) | ||
| Michael G. Perreault | Registered representative | Aug 2016 (10y) | ||
| James Boyd Speights | Registered representative | Jun 2017 (9y) | ||
| Tyler Currie Duckworth | Registered representative | Mar 2023 (3y) | ||
| Jameson Charles Duckworth | Registered representative | Apr 2023 (3y) | ||
| Shane M Jedson | Registered representative | Dec 2025 (1y) | ||
| Garrett Joseph Marcoux | Registered representative | Mar 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Capital Wealth Holdings, Llc | Managing Member | Jan 2018 | A | 75% or more |
| Capital Wealth Inc. | Member | Jan 2018 | B | ≈ 56.25% – 100% via Capital Wealth Holdings, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Lee Alan Duckworth: 75% – 100% of Capital Wealth Inc. × 75% – 100% of Capital Wealth Holdings, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Capital Wealth Inc.: 75% – 100% of Capital Wealth Holdings, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (6)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Plan International Usa, Inc. Retirement Plan | Plan International Usa, Inc. | 113 | $21.4M | 01/01/2024 |
| Beltone New England 401(k) Plan | Beltone New England | 116 | $7.0M | 01/01/2024 |
| Medical Associates Of Rhode Island, Inc. 401(k) Plan | Medical Associates Of Rhode Island, Inc. | 120 | $23.9M | 01/01/2024 |
| Pet Food Experts, Inc. 401(k) And Profit Sharing Plan | Pet Food Experts, Inc. | 654 | $26.0M | 01/01/2024 |
| Thielsch Engineering Inc. 401(k) Savings Plan | Thielsch Engineering, Inc. | 622 | $65.2M | 01/01/2024 |
| Rodefer Moss & Co, Pllc 401(k) Profit Sharing Plan | Rodefer Moss & Co, Pllc | 108 | $12.4M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/08/2026 | 909 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $846M (74% of AUM) Jul 2026
- Ascensus Trust Company $139M (12% of AUM) Jul 2026
- Hand Benefits & Trust $72.9M (13% of AUM) Nov 2020
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 08, 2026.
View current Form ADV (SEC/IAPD) ↗