WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
Company Profile
| AUM* | 1,719,318,714 31% |
| of that, discretionary | 1,562,397,124 33% |
| Private Fund GAV* | 0 |
| Avg Account Size | 1,468,248 21% |
| High Net Worth | 37.45% -6% |
| SMA’s | Yes |
| Private Funds | 0 |
Adviser Type
Number of Employees 45 2%
of those in investment advisory functions 28 -3%
Client Types
- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans
- Charitable organizations
- Corporations or other businesses not listed above
Advisory Activities
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses
Compensation Arrangments
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
Disclosure Reporting
| 11.E(2) | SRO found rule violation |
Recent News
Reported AUM
Private Funds
No private funds
Employees
Form ADV-E Surprise Examination Reports
| Accounting Firm Name | Filing Date | Form ADV-E |
|---|---|---|
| Accounting Firm Name WOLF & COMPANY, P.C. | Filing Date09/29/2025 | Form ADV-E View Report |
| Accounting Firm Name WOLF & COMPANY, P.C. | Filing Date08/29/2024 | Form ADV-E View Report |
| Accounting Firm Name WOLF & COMPANY, P.C. | Filing Date11/22/2023 | Form ADV-E View Report |