WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC

Company Profile

As of Date 03/24/2026
ADV Location United States, NY
Adviser Type - Large advisory firm
Number of Employees 45
of those in investment advisory functions 28
AUM* 1,719,318,714 31%
of that, discretionary 1,562,397,124 26%
Private Fund GAV* 0
Avg Account Size 1,468,248 19%
High Net Worth 37.45% -5%
SMA’s Yes
Private Funds 0
Websites

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
View 2 DRP Records

Recent News

Reported AUM

1B 1B 1B 838M 629M 419M 210M
2015 2016 2017 2018 2019 2020 2021 2022 2023
Discretionary
Non-discretionary

Private Funds

No private funds

Employees

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