{
  "crd_number": 150529,
  "slug": "wellington-shields-capital-management-llc-new-york-ny-150529",
  "primary_business_name": "WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC",
  "legal_name": "WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC",
  "dbas": [],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2010-03-09",
  "years_registered": 16,
  "period": "2026-10-01",
  "filing_date": "2026-03-24",
  "carried_forward": false,
  "raum_total": 1173354300.0,
  "raum_discretionary": 1051258896.0,
  "raum_non_discretionary": 122095404.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 20,
  "advisory_employees": 13,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 212571472.0,
      "count": 14
    },
    "individuals": {
      "raum": 65692932.0,
      "count": 271
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 6555360.0,
      "count": null,
      "fewer_than_5": true
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 811285015.0,
      "count": 273
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 77249521.0,
      "count": 16
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 1,
  "states_registered": [
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "MA",
    "MD",
    "ME",
    "NC",
    "NH",
    "NJ",
    "NY",
    "PA",
    "SC",
    "TN",
    "TX",
    "VA",
    "VT"
  ],
  "websites": [
    "https://linkedin.com/company/2048392",
    "https://wellingtonshields.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/150529",
  "disclosure_items": [
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/wellington-shields-capital-management-llc-new-york-ny-150529",
  "display_name": "Wellington Shields Capital Management, LLC",
  "summary": "Wellington Shields Capital Management, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2010, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 24, 2026.",
  "citation": "AdvisorCensus. Wellington Shields Capital Management, LLC (CRD 150529): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients"
  ],
  "quick_answers": [
    {
      "q": "How is Wellington Shields Capital Management, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Wellington Shields Capital Management, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)."
    },
    {
      "q": "Where is Wellington Shields Capital Management, LLC located?",
      "a": "Wellington Shields Capital Management, LLC's principal office is in New York, NY, according to its Form ADV."
    },
    {
      "q": "Is Wellington Shields Capital Management, LLC registered with the SEC or a state?",
      "a": "Wellington Shields Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2010. Status as filed: Approved. CRD 150529."
    },
    {
      "q": "How much does Wellington Shields Capital Management, LLC manage?",
      "a": "Wellington Shields Capital Management, LLC reports $1,173,354,300 in regulatory assets under management in its Form ADV filing dated March 24, 2026 (90% discretionary)."
    },
    {
      "q": "How have Wellington Shields Capital Management, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Wellington Shields Capital Management, LLC: Regulatory assets under management: $1,059,402,801 in the October 2021 data and $1,173,354,300 in the October 2026 data, up 11%. Total employees: 21 in October 2021 and 20 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Wellington Shields Capital Management, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (273); individuals (other than high net worth individuals) (271); corporations or other businesses not listed above (16)."
    },
    {
      "q": "Which custodians does Wellington Shields Capital Management, LLC use?",
      "a": "Wellington Shields Capital Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Pershing LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Wellington Shields Capital Management, LLC report any disciplinary disclosures?",
      "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/150529"
    },
    {
      "q": "What changed in Wellington Shields Capital Management, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $999,720,457 to $1,173,354,300 (+17%). Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 1059402801.0,
      "total_employees": 21,
      "filing_date": "2021-03-24"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 1197781921.0,
      "total_employees": 21,
      "filing_date": "2022-03-17"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 1034227634.0,
      "total_employees": 20,
      "filing_date": "2023-03-21"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 908668439.0,
      "total_employees": 20,
      "filing_date": "2024-03-12"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 999720457.0,
      "total_employees": 21,
      "filing_date": "2025-03-24"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 1173354300.0,
      "total_employees": 20,
      "filing_date": "2026-03-24"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $999,720,457 to $1,173,354,300 (+17%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Pershing LLC",
      "name_as_filed": "PERSHING LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/wellington-shields-capital-management-llc-new-york-ny-150529.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 271,
      "fewer_than_5": false,
      "raum": 65692932.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 273,
      "fewer_than_5": false,
      "raum": 811285015.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": null,
      "fewer_than_5": true,
      "raum": 6555360.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 14,
      "fewer_than_5": false,
      "raum": 212571472.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 16,
      "fewer_than_5": false,
      "raum": 77249521.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/150529",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}