Hedge Fund Database

CAPITAL WEALTH MANAGEMENT, LLC

Adviser information for CAPITAL WEALTH MANAGEMENT, LLC last updated from Form ADV on March 18th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 17
Investment Advisory/Research 8
Registered Broker-Dealer Representatives 8
Registered State Investment Advisers 10
Licensed Agents of an Insurance Company 6
No. of Firms/People that Solicit Clients 2

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 601 $858.0M
Non-Discretionary 0 $0
Total 601 $858.0M

Clients

Type Number RAUM
Individuals 126 $22.5M
HNW Individuals 415 $575.2M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 58 $259.9M
Charitable organizations <5 $245,855
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses <5 $187,032
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 0

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)
Compensation % of AUMFixed fees
Other Business Activities Registered representative of a broker-dealerInsurance broker or agent

Identifiers

SEC RIA File Number 801-76539
SEC ERA File Number 801-76539
SEC CIK Numbers 1730456
SEC CRD Numbers 157959
Legal Entity Identifier None

Principal Office

1300 DIVISION ROAD
SUITE 203
WEST WARWICK
RI
United States
Monday - Friday, 8:30AM - 5:00PM
Tel: (401) 885-1060, Fax: (401) 885-7030

Websites

www.linkedin.com/company/capital-wealth-management-inc--ri-usa-/ www.capitalwealthllc.com

Chief Compliance Officer

LEE ALAN DUCKWORTH
PRESIDENT AND CHIEF EXECUTIVE OFFICER
1300 DIVISION ROAD
SUITE 203
WEST WARWICK
RI
United States
Tel: (401) 885-1060
Fax: (401) 885-7030
(Full email address available in API data)

Regulatory Contact

LAWRENCE F. DOOLEY, JR.
CHIEF INVESTMENT OFFICER
1300 DIVISION ROAD
SUITE 203
WEST WARWICK
RI
United States
Tel: (401) 885-1060
Fax: (401) 885-7030
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
Dooley, Lawrence, Francis Individual – CHIEF INVESTMENT OFFICER 03/2017 < 5%
DUCKWORTH, LEE, ALAN Individual – PRESIDENT, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER 05/2010 < 5%
GLATZ, BRIAN, ANDREW Individual – DIRECTOR OF RESEARCH 01/2017 < 5%
CAPITAL WEALTH HOLDINGS, LLC Domestic Entity – MANAGING MEMBER 01/2018 > 75%
CAPITAL WEALTH INC. Domestic Entity CAPITAL WEALTH HOLDINGS, LLC MEMBER 01/2018 > 75%
DUCKWORTH, LEE, ALAN Individual CAPITAL WEALTH INC. SHAREHOLDER 05/2010 > 75%
RECORDS, REBECCA, ANN Individual – DIRECTOR OF RETIREMENT PLAN SERVICES 02/2021 < 5%

No. Employees, Historic

30150201920202021202220232024202519 on 8/21/201921 on 3/16/202021 on 5/19/202021 on 5/29/202021 on 11/19/202020 on 3/18/202120 on 9/3/202116 on 3/27/202216 on 10/24/202216 on 12/21/202217 on 3/29/202317 on 4/6/202317 on 11/2/202317 on 3/18/2024

RAUM, Historic

900M450M02019202020212022202320242025453941652 on 8/21/2019568734995 on 3/16/2020568734995 on 5/19/2020568734995 on 5/29/2020568734995 on 11/19/2020649672606 on 3/18/2021649672606 on 9/3/2021764545042 on 3/27/2022764545042 on 10/24/2022764545042 on 12/21/2022772494203 on 3/29/2023772494203 on 4/6/2023772494203 on 11/2/2023858037632 on 3/18/2024

No. Clients, Historic

60030002019202020212022202320242025498 on 8/21/2019527 on 3/16/2020527 on 5/19/2020527 on 5/29/2020527 on 11/19/2020548 on 3/18/2021548 on 9/3/2021533 on 3/27/2022533 on 10/24/2022533 on 12/21/2022549 on 3/29/2023549 on 4/6/2023549 on 11/2/2023599 on 3/18/2024

Holdings

From latest 13F, filed July 16th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
APPLE INC COM 610K 3K –
BOOKING HOLDINGS INC COM 610K 154 –
CHIPOTLE MEXICAN GRILL INC COM 627K 10K –
FIDELITY MERRIMACK STR TR TOTAL BD ETF 13M 289K –
FLEXSHARES TR MORNSTAR UPSTR 5M 126K –
FRANKLIN TEMPLETON ETF TR SENIOR LOAN ETF 1M 54K –
INNOVATOR ETFS TRUST LADDERED ALC BFR 2M 79K –
INNOVATOR ETFS TRUST US EQT BUFR APR 2M 43K –
INVESCO QQQ TR UNIT SER 1 874K 2K –
ISHARES INC CORE MSCI EMKT 296K 6K –
ISHARES INC JP MRG EM CRP BD 219K 5K –
ISHARES TR CONV BD ETF 3M 40K –
ISHARES TR CORE INTL AGGR 567K 11K –
ISHARES TR CORE S&P MCP ETF 384K 7K –
ISHARES TR FALN ANGLS USD 4M 150K –
ISHARES TR MRGSTR MD CP GRW 11M 157K –
ISHARES TR MSCI EAFE SMCP 8M 240K –
MICROSOFT CORP COM 704K 2K –
NATIXIS ETF TR LOOMIS SAYLES 381K 16K –
NVIDIA CORPORATION COM 2M 16K –
PROCTER AND GAMBLE CO COM 296K 2K –
RPM INTL INC COM 225K 2K –
SCHWAB STRATEGIC TR FUNDAMENTAL INTL 12M 353K –
SELECT SECTOR SPDR TR RL EST SEL SEC 8M 197K –
SPDR INDEX SHS FDS PORTFOLIO EMG MK 14M 381K –
SPDR INDEX SHS FDS S&P NORTH AMER 11M 193K –
SPDR S&P 500 ETF TR TR UNIT 8M 14K –
SPDR SER TR BLOOMBERG 1 10 Y 862K 47K –
SPDR SER TR PORTFOLIO SHORT 24M 810K –
SPDR SER TR S&P 400 MDCP VAL 5M 70K –
THERMO FISHER SCIENTIFIC INC COM 373K 674 –
VANECK ETF TRUST FALLEN ANGEL HG 879K 31K –
VANGUARD ADMIRAL FDS INC SMLCP 600 GRTH 885K 8K –
VANGUARD INDEX FDS GROWTH ETF 26M 70K –
VANGUARD INDEX FDS S&P 500 ETF SHS 4M 8K –
VANGUARD INDEX FDS SM CP VAL ETF 13M 69K –
VANGUARD INDEX FDS SMALL CP ETF 247K 1K –
VANGUARD INDEX FDS VALUE ETF 21M 131K –
VANGUARD WHITEHALL FDS INTL DVD ETF 2M 20K –
WISDOMTREE TR ITL HDG QTLY DIV 11M 249K –