# Wellington Shields Capital Management, LLC > 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. - CRD: 150529 - Filed as: WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC - Registration: SEC-registered investment adviser (status as filed: Approved) - Location: New York, NY - Filing period: October 2026 - Form ADV filing dated: March 24, 2026 - SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/150529 - AdvisorCensus page: https://advisorcensus.com/firm/wellington-shields-capital-management-llc-new-york-ny-150529 ## Quick answers **How is Wellington Shields Capital Management, LLC compensated?** 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). The amounts are in Item 5 of its Form ADV Part 2A brochure. **Where is Wellington Shields Capital Management, LLC located?** Wellington Shields Capital Management, LLC's principal office is in New York, NY, according to its Form ADV. **Is Wellington Shields Capital Management, LLC registered with the SEC or a state?** Wellington Shields Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2010. Status as filed: Approved. CRD 150529. **How much does Wellington Shields Capital Management, LLC manage?** 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). **How have Wellington Shields Capital Management, LLC's assets and staff changed since 2021?** 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. **What types of clients does Wellington Shields Capital Management, LLC serve?** 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). **Which custodians does Wellington Shields Capital Management, LLC use?** 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. **Does Wellington Shields Capital Management, LLC report any disciplinary disclosures?** 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 **What changed in Wellington Shields Capital Management, LLC's recent Form ADV filings?** 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). ## From the Form ADV filing ### Compensation (Item 5.E) - A percentage of assets under your management - Fixed fees (other than subscription fees) ### Custodians (Schedule D, Section 5.K(3)) - Pershing LLC 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. ### Regulatory assets under management (Item 5.F) - Total: $1,173,354,300 - Discretionary: $1,051,258,896 - Non-discretionary: $122,095,404 ### Clients (Item 5.D) | Client type | Clients | Assets | | --- | --- | --- | | Individuals (other than high net worth individuals) | 271 | $65,692,932 | | High net worth individuals | 273 | $811,285,015 | | Banking or thrift institutions | 0 | $0 | | Investment companies | 0 | $0 | | Business development companies | 0 | $0 | | Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 | | Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $6,555,360 | | Charitable organizations | 14 | $212,571,472 | | State or municipal government entities (including government pension plans) | 0 | $0 | | Other investment advisers | 0 | $0 | | Insurance companies | 0 | $0 | | Sovereign wealth funds and foreign official institutions | 0 | $0 | | Corporations or other businesses not listed above | 16 | $77,249,521 | | Other | 0 | $0 | ### Advisory services (Item 5.G) - Portfolio management for individuals and/or small businesses - Portfolio management for businesses (other than small businesses) or institutional clients ### Firm details - Registered since: 2010 (16 years) - Employees: 20 total, 13 performing advisory functions - Wrap fee program participation: Yes - States registered or notice-filed: AZ, CA, CO, CT, DC, DE, FL, GA, MA, MD, ME, NC, NH, NJ, NY, PA, SC, TN, TX, VA, VT - Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11. ### Item 11 questions answered yes - 11.E(2): 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? Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/150529 ### Websites listed on Form ADV (Item 1.I) - wellingtonshields.com - LinkedIn @2048392 ## Assets and staff over time | Data period | Regulatory assets under management | Employees | Filing dated | | --- | --- | --- | --- | | October 2021 | $1,059,402,801 | 21 | March 24, 2021 | | October 2022 | $1,197,781,921 | 21 | March 17, 2022 | | October 2023 | $1,034,227,634 | 20 | March 21, 2023 | | October 2024 | $908,668,439 | 20 | March 12, 2024 | | October 2025 | $999,720,457 | 21 | March 24, 2025 | | October 2026 | $1,173,354,300 | 20 | March 24, 2026 | 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. ## Changes in the filing (last 12 months) ### April 2026 - 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). ### February 2026 - Updated its list of owners and control persons (Schedule A). ## Source Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Wellington Shields Capital Management, LLC (CRD 150529): Form ADV filing data as of October 2026.