CAPITAL WEALTH ADVISORS, LTD.
Adviser information for CAPITAL WEALTH ADVISORS, LTD. last updated from Form ADV on February 16th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Wisconsin, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 513 | $106.6M |
| Non-Discretionary | 0 | $0 |
| Total | 513 | $106.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 172 | $61.4M |
| HNW Individuals | 30 | $45.3M |
| 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 | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPension consulting servicesFINANCIAL PLANNING AND CONSULTING |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-79379 |
|---|---|
| SEC ERA File Number | 801-79379 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 155263 |
| Legal Entity Identifier | None |
Principal Office
1755 W. PARADISE DR.WEST BEND
WI
United States
Monday - Friday, 8AM-4:00PM MON-THUR, 8AM-3PM FRI
Tel: 262-306-0066, Fax: 262-306-0033
Chief Compliance Officer
DAVID ROSENOW
1755 W PARADISE DR SUITE 102
WEST BEND
WI
United States
Tel:
262-306-0066
Fax:
262-306-0033
D**********@************M
(Full email address available in API data)
Regulatory Contact
DAVID LAKE
PRESIDENT
1755 W PARADISE DR SUITE 102
WEST BEND
WI
United States
Tel:
414-807-3088
D****@************M
(Full email address available in API data)
Industry Affiliates
| CWP PRIVATE WEALTH MANAGEMENT | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LAKE, JILL, S | Individual | – | TREASURER | 12/2001 | 50-75% |
| LAKE, DAVID, SCOTT | Individual | – | PRESIDENT | 12/2001 | 50-75% |
| ROSENOW, DAVID, LEO | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |