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CONTENTS
1. ABOUT OUR FIRM Our focus
2. LEADERSHIP Years of industry expertise
3. KEY DIRECTORS, SPECIALISTS& STAFFOur growing team
4. MILESTONESHistory and accomplishments
5. CORE VALUES Guiding principles
6. INTEGRATED WEALTH MANAGEMENTComprehensive strategies
7. INVESTMENT MANAGEMENTDisciplined process
8. WEALTH MANAGEMENT PROCESSHighly-customized solutions
9. TECHNOLOGYOnboarding process and cutting-edge platforms
10. PRACTICE MANAGEMENT SUPPORTAccess to powerful resources
11. MERCHANT INVESTMENT MANAGEMENTA principal capital partner
12. JOIN OUR TEAMHow we help you succeed
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INTEGRATED wealth planning
Client trust is our guide in all decision making
ABOUT OUR FIRMJOIN A TEAM DEDICATED TO GUIDING YOUR SUCCESS
Helping individuals and families build and preserve wealth since 1989
§ Credentialed leadership team with deep COI networks and a combined skillset well-suited to address complex wealth management needs
§ Core competencies include Retirement Plan/ERISA fiduciary consulting, integrated business planning, personal wealth management, and estate planning
§ Nimble, technology-forward work flow processes
§ Charitable focused – Capital Wealth Foundation helps our communities by supporting those in need, new technology for a worthy cause, and targeted educational opportunities
Our team includes investment specialists, retirement advisors, insurance professionals and financial planners who have a vision to provide integrated wealth strategies that put clients’ interests first.
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President & CEO
LEE A. DUCKWORTHCFP®, AIF®
PETER J. ALOFSINCFP®, AIF®
CURT A. CASERTACLU®, RFC®, AIF®
Partner Partner
Chief Investment Officer
LAWRENCE DOOLEYCFA®
Managing Director
M. SHAYNE RUFFINGCLU®, ChFC®, AIF®
Director of Research Senior Portfolio Manager
BRIAN GLATZLIFA, AIF®
LEADERSHIP TEAMINDUSTRY INSIGHTS AND YEARS OF INVESTMENT EXPERIENCE
Director of Retirement Plan Services
REBECCA RECORDSAPR, AIF®
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Director of Financial Reporting
GINNY PEREZ
KEY DIRECTORS
KEVIN BORGES
Director of Operations
TIFFANY GARLAND
PAUL LONGCLU®, ChFC®
OUR GROWING TEAM
Director of Investment Services
Director of Estate Planning & Retirement
Consultant
KIM MENARD
Director of Operations
KELLY KNIGHT
Director ofOperations
LORI ALVARADO
Director ofInsurance Services
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Retirement ServiceSpecialist
KAREN CANCELLIERI
SPECIALISTS & ADMINISTRATIVE STAFF
LAUREN HOPKINS
Director of Operations
TIFFANY GARLAND
OUR GROWING TEAM
Investment OperationsSpecialist
JACKIE ROMANO
Investment OperationsSpecialist
ANTONIO SANTORO
AdministrativeAssociate
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Merchant brings decades of experience, insights and resources from leadership roles in some of America’s leading financial services firmsincluding Goldman Sachs, Apollo Global Management, Eton Park Capital, Skybridge Capital, Focus Financial Partners, Fidelity Investments and more.
CREATIVE INVESTMENT SOLUTIONS
Offering access to creative investment solutions to meet client needs.
MERCHANT INVESTMENT MANAGEMENTA PERMANENT PRINCIPAL CAPITAL PARTNER
STRATEGIC ADVICE
Providing guidance, opportunity assessment and business structure ideas when needed.
ASSET GROWTH
Supporting growth through capital, management resources and access to strategic
opportunities.
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OUR MILESTONESGROWTH & ACCOMPLISHMENTS 1989
CAPITAL WEALTH MANAGEMENTINCEPTION—Fueled by their entrepreneurial spirit, Lee and Peter foundCapital Wealth Management.
LEE A. DUCKWORTH, CFP®, AIF®President & CEO
PETER J. ALOFSIN, CFP®, AIF®Partner
§ 30 years of combined experience in private wealth management and estate planning
§ Began investment career at Northwestern Mutual
§ CERTIFIED FINANCIAL PLANNER, CFP®Metropolitan State College, Denver, CO
§ Accredited Investment Fiduciary, AIF®fi360, Pittsburgh, PA
§ B.S. Business AdministrationUniversity of Rhode Island, Kingston, RI
§ 30 years of combined experience in private wealth management and estate planning
§ Began investment career at Northwestern Mutual
§ CERTIFIED FINANCIAL PLANNER, CFP®Bryant University, Smithfield, RI
§ Accredited Investment Fiduciary, AIF®fi360, Pittsburgh, PA
§ B.S. Business AdministrationUniversity of Rhode Island, Kingston, RI
2012INTEGRATED WEALTH CAREPHYSICIAN STRATEGIES TEAM—M. Shayne Ruffing, Managing Director, joins CWM to design comprehensive financial solutions that coordinate all aspects of a physician’s financial life.
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OUR MILESTONESGROWTH & ACCOMPLISHMENTS
2019 - OVER $650 MILLION AUMCAPITAL WEALTH MANAGEMENT
—Firm continues to grow including offices in Durham, NC
and West Warwick, RI with nine Financial Advisors.
2018MERCHANT INVESTMENT MANAGEMENT
MINORITY PARTNER—
Providing strategic advice and guidance, Merchant is our minority and non-controlling partner supporting the firm
with resources, capital and client opportunities.
2018TOP 300 FINANCIAL ADVISORS—Capital Wealth Management named to 2018 Financial Times Top Financial Advisors. This list recognizes top Financial Advisors from across the U.S.
2017CAPITAL WEALTH FOUNDATION—Establish Capital Wealth Foundation as a platform to help our community do better things including supporting those in need, new technology for a worthy cause or targeted educational opportunities.
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TRUST
As a Fiduciary, our clients’ interests
always come first –trust is our guide in all
decision making.
WHITE GLOVECLIENT SERVICE
Providing clients with special care and
attention.
COMMUNICATION
Our communication and portfolio review
schedule ensures clients stay up to
date and in sync with their wealth plan.
TECHNOLOGY
Using leading-edge technology to help ensure clients take advantage of
opportunities, avoid obstacles and achieve
financial success.
CORE VALUESGUIDING OUR MISSION TO ACHIEVE CLIENT GOALS
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INTEGRATED WEALTH MANAGEMENTSUPPORTING CLIENTS WITH COMPREHENSIVE SERVICES
ALTERNATIVE INVESTMENTS
FINANCIAL PLANNING &WEALTH MANAGEMENT
COMPANY 401(K) & FIDUCIARY CONSULTING
PORTFOLIO MANAGEMENT
INSURANCE & RISK MANAGEMENTTRUST & FIDUCIARY SERVICES
BUSINESS OWNERINTEGRATED PLANNING
PHILANTROPIC PLANNING
YOUR CLIENT
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WEALTH MANAGEMENT PROCESSHIGHLY-CUSTOMIZED SOLUTIONS
MONITOR ANDREVIEW
DISCOVERY
DATA ANALYSIS
COORDINATED STRATEGIES
BENCHMARKANALYSIS
Every new relationship starts with a conversation. We work with clients on a deeper level to understand and gain clarity regarding their specific objectives.
We gather data and analyze financial facts, clarify goals and develop a wealth plan for success.
Develop and present coordinated strategies to help clients gain the confidence they need for success.
Disciplined review schedule to accommodate changes in the capital markets, tax laws and client income needs.
Identify and mitigate portfolio risk through ongoing and active benchmark analysis.
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Our investment committee utilizes a rigorous, data-driven process to identify preferred holdings in all relevant asset classes.
IDENTIFY PREFERRED HOLDINGS
We continue to monitor and provide an unbiased evaluation of all securities to ensure they remain in line with our clients’ goals and objectives.
CONSTANT MONITORING AND EVALUATION
Capital Wealth Management implements strategic solutions to help clients reduce portfolio risk and gain tax efficiency.
RISK MITIGATION AND TAX EFFICIENCY
INVESTMENT MANAGEMENTDISCIPLINED INVESTMENT PROCESS
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TECHNOLOGY ONBOARDINGHELPING CLIENTS TAKE ADVANTAGE OF TECHNOLOGY RESOURCES
ACCOUNT AGGREGATIONCoordinate new accounts and account transfers and obtain all necessary client login credentials.
ONLINE PORTALIntroduction to client’s secure “personal website” to see all financial data in one consolidated view.
MOBILE APPWork side-by-side with clients to download the Capital Wealth Management mobile app on all of their devices.
REPORTINGEducate clients on financial metrics to track progress toward reaching their short-and long-term financial goals.
DIRECTOR OF FINANCIAL REPORTINGHelps clients take advantage of technology resources with our step-by-step onboarding process.
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LEADING EDGE TECHNOLOGYSTRENGTHENING OPERATIONAL EFFICIENCY & CLIENT ENGAGEMENT
SMART OFFICECRM
FINANCIALPLANNING
ONLINECLIENT PORTAL
REDBLACKPORTFOLIO
REBALANCING
BLACK DIAMONDREPORTING
CUSTODIANS MOBILE APPLASERFICHE® DOCUMENT
MANAGEMENT
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CLIENT PORTAL—
Secure “personal website” consolidates
data and allows clients to connect all their financial
accounts
CLIENT & PHILANTROPIC
EVENTS—
Support for community and charity events
SECURE BUSINESS NETWORK
—Cloud-based, paperless systems with remote
connection to our private network
FINANCIALEDUCATIONAL
—Modern website with blog and up-to-date,
relevant content
CLASS A OFFICESPACE
—First-class offices and
conference rooms with presentation monitors
PROFESSIONAL DEVELOPMENT
—Encourage continuing ed, conferences and
advanced designations
SUPPORTSTAFF
—Supported by
an experienced administrative staff
COLLABORATIVE CULTURE
—Regular company-wide
meetings to review work flow and promote sharing
of insights and ideas
PRACTICE MANAGEMENT TOOLS & SUPPORTHELPING YOU BUILD AND MANAGE YOUR PRACTICE
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HOW WE HELP YOU SUCCEED
Achieve Greater Income
build real monetizable economic value for
your book
Grow YourBusiness
by taking advantage of a firm designed for expansion
and growth
Provide TailoredFinancial Planning
using our advancedsystems and planning
technology
Offer CreativeInvestment Solutions
with our Merchant partnership
JOIN OUR TEAMTAKE YOUR BUSINESS TO THE NEXT LEVEL
We are looking for experienced advisors who are seeking independence, more autonomy, greater income and the opportunity for a rewarding partnership. Our attractive offering provides an opportunity to move to an independent RIA model or successfully merge your practice with Capital Wealth Management.
We provide access to proven industry experts, leading wealth management solutions, alternative investments, and advanced technology to help you:
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OfficesWEST WARWICK, RI1300 Division Road, Ste 203(401) 885-1060 phoneDURHAM, NC 3211 Shannon Road, Ste 420(866) 694-6292 phone
Website
THANK YOU!WE INVITE YOU TO SCHEDULE A TIME SO YOU CAN LEARN MORE
[email protected] capitalwealthllc.com
Additional information, including management fees and expenses, is provided on our Form ADV Part 2, available upon request or visit https://www.adviserinfo.sec.gov/Firm/157959