Michael J. Capobianco

MWA ASSET MANAGEMENT

Danvers, MA 01923

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CRD#: 2159543

Professional summary

Michael John Capobianco is a registered financial advisor currently at MWA ASSET MANAGEMENT located in Danvers, Massachusetts and LATTANZI FINANCIAL SERVICES LLC located in Revere, Massachusetts.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Michael has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Rorcha LLC; Owner/Director, NON-INVESTMENT BUSINESS Business Consulting 1 HR/Week

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Capobianco's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 6, 2007 - Present

MWA ASSET MANAGEMENT

Office #1: 55 Ferncroft Road Suite 305, Danvers, MA 01923

RIA

CRD#: 142912

Danvers, MA

Current

June 8, 2017 - Present

LATTANZI FINANCIAL SERVICES LLC

Office #1: 166 Winthrop Ave, Revere, MA 02151

RIA

CRD#: 282894

Revere, MA

Past

January 21, 2015 - December 5, 2019

ALC ADVISORY

RIA

CRD#: 173739

LEXINGTON, MA

Past

August 15, 2013 - March 13, 2017

TRIAD ADVISORS LLC

CRD#: 25803

WELLESLEY, MA

Past

November 27, 2012 - July 31, 2013

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

WELLESLEY, MA

Past

July 7, 2011 - February 28, 2012

EDGARTOWN ADVISORS LLC

RIA

CRD#: 153629

BOSTON, MA

Past

September 24, 2010 - July 31, 2013

CAPITOL SECURITIES MANAGEMENT, INC.

RIA

CRD#: 14169

WELLESLEY, MA

Past

September 24, 2010 - December 18, 2012

CAPITOL SECURITIES & ASSOCIATES, INC.

CRD#: 7278

WELLESLEY, MA

Past

January 2, 2009 - September 27, 2010

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

WELLESLEY, MA

Past

May 23, 2005 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

WELLESLEY, MA

Past

April 29, 2005 - September 27, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

WELLESLEY, MA

Past

July 30, 2000 - May 2, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WELLESLEY, MA

Past

June 1, 2000 - May 2, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

September 29, 1999 - June 5, 2000

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

May 26, 1999 - July 28, 1999

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

September 27, 1993 - May 20, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 17, 1991 - February 25, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MWA ASSET MANAGEMENT

ALC ADVISORY | MWA ASSET MANAGEMENT | MORTON WEALTH ADVISORS INC. | MORTON WEALTH ADVISORS II, INC. | MORTON WEALTH ADVISORS

CRD#: 142912 / SEC#: 801-112638

RIA

Registered Investment Advisory firm - (3/19/2018 Approved)

Massachusetts

Registered Investment Advisory firm - (3/20/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(3/6/2007)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/13/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/23/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/13/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/6/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/6/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

MWA ASSET MANAGEMENT

ALC ADVISORY | MWA ASSET MANAGEMENT | MORTON WEALTH ADVISORS INC. | MORTON WEALTH ADVISORS II, INC. | MORTON WEALTH ADVISORS

CRD#: 142912 / SEC#: 801-112638

RIA

Registered Investment Advisory firm - (3/19/2018 Approved)

Massachusetts

Registered Investment Advisory firm - (3/20/2018 Terminated)

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Contact information

Main Address

55 Ferncroft Road Suite 305, Danvers, MA 01923

Mailing Address

Phone number

(781) 263-1600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	417
AUM (Assets Under Management)	$ 254,208,364

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Michael J. Capobianco

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Capobianco's CRS (Customer Relationship Summary).

Certified licenses

Experience

LATTANZI FINANCIAL SERVICES LLC

ALC ADVISORY

TRIAD ADVISORS LLC

CAPITOL SECURITIES MANAGEMENT, INC.

EDGARTOWN ADVISORS LLC

CAPITOL SECURITIES MANAGEMENT, INC.

CAPITOL SECURITIES & ASSOCIATES, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

LEGG MASON WOOD WALKER, INCORPORATED

FIDELITY BROKERAGE SERVICES LLC

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

MWA ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 3/13/1996

Series 63

Date: 7/23/1991

SIE

Date: 3/13/2017

Series 7

Date: 7/16/1991

Series 10

Date: 11/6/2002

Series 9

Date: 11/6/2002

Current Firm

MWA ASSET MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MWA ASSET MANAGEMENT

TRUST BUT VERIFY

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