SPECIAL ADVERTISING SECTION WEALTH MANAGERS
Capital Wealth Management , LLC
9
YEAR WINNER
Left to right : Back row : Rochelle Rose ; Six-year winner Curt Caserta ; Rebecca Records ; Jameson Duckworth ; Anessa Wilde ; Middle row : Laura Raines ; Jacqueline Romano ; Jen Lyons ; Brian Glatz ; Virginia Perez ; Tyler Duckworth ; Kevin Borges ; Front row : 2017 winner James Speights ; Eight-year winner Lee Duckworth ; Nine-year winner Peter Alofsin
Building and Preserving Wealth Since 1989
• 401 ( k ) and retirement plan consulting • Utilizes a rigorous , data-driven process • Customized investment management Your trust is our guide .
We are a federally registered investment advisory firm offering independent fiduciary advice to retirement plan trustees and comprehensive wealth management to high net worth individuals . We strive to help families realize multigenerational financial goals and implement sophisticated investment strategies in an easy-to-understand manner .
In an effort to reduce plan costs and improve investments , we consult with plan service providers on your behalf to achieve the following : competitive fee structure , unlimited investment platform , white-glove service and advanced technology . This is structured so that trustees know exactly how much the service providers are being paid and what services are being provided .
1300 Division Road , Suite 203 • West Warwick , RI 02893 Phone : 401-885-1060 lee @ capitalwealthllc . com • www . capitalwealthllc . com
Securities offered through Triad Advisors , LLC . Member FINRA / SIPC . Investment Advisory Services are offered through Capital Wealth Management , LLC , a registered investment advisor . Capital Wealth Management , LLC and Triad Advisors , LLC . are not affiliated .
FIVE STAR WEALTH MANAGER AWARD WINNER
This award was issued on 12 / 01 / 2023 by Five Star Professional ( FSP ) for the time period 02 / 13 / 2023 through 08 / 31 / 2023 . Fee paid for use of marketing materials . Selfwealth managers were considered for the award ; 120 ( 17 % of candidates ) were named 2024 Five Star Wealth Managers . The following prior year statistics use this format : - 10 / 1 / 21 ; 2012 : 624 , 151 , 24 %, 11 / 1 / 21 , 2 / 8 / 21 - 9 / 10 / 21 ; 2020 : 614 , 132 , 21 %, 11 / 1 / 20 , 3 / 2 / 20 - 9 / 25 / 20 ; 2019 : 568 , 131 , 23 %, 11 / 1 / 19 , 2 / 25 / 19 - 10 / 7 / 19 ; 2018 : 12 / 1 / 15 , 5 / 6 / 15 - 9 / 30 / 15 ; 2014 : 677 , 204 , 30 %, 11 / 1 / 14 , 5 / 6 / 13 - 9 / 30 / 13 ; 2013 : 553 , 185 , 33 %, 10 / 1 / 13 , 5 / 6 / 12 - 9 / 30 / 12 ; 2012 : 287 , 111 , 39 %, 11 / 1 / 12 , 5 / 6 / 11
Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers . The award is based on 10 objective criteria . Eligibility criteria – required : 1 . Credentialed as a registered investment adviser ( RIA ) or a manager has not ; A . Been subject to a regulatory action that resulted in a license being suspended or revoked , or payment of a fine ; B . Had more than a total of three settled or pending complaints filed against them and / or a total of five settled , registered through FSP ’ s consumer complaint process ; feedback may not be representative of any one client ’ s experience ; C . Individually contributed to a financial settlement of a customer complaint ; D . Filed for personal bankruptcy within the client retention rate ; 7 . Five-year client retention rate ; 8 . Non-institutional discretionary and / or non-discretionary client assets administered ; 9 . Number of client households served ; 10 . Education and professional designations . FSP does not inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by FSP or this publication . Working with a Five Star Wealth Manager or any wealth manager is no guarantee
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