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FIRM OVERVIEWLEARN MORE ABOUT US

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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

Emaillee@capitalwealthllc.com 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