{
  "crd_number": 133839,
  "slug": "wilmington-capital-securities-llc-garden-city-ny-133839",
  "primary_business_name": "WILMINGTON CAPITAL SECURITIES, LLC",
  "legal_name": "WILMINGTON CAPITAL SECURITIES, LLC",
  "dbas": [
    "DAVID E. ASTORR, INC."
  ],
  "city": "Garden City",
  "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": "2015-07-27",
  "years_registered": 11,
  "period": "2026-10-01",
  "filing_date": "2026-03-30",
  "carried_forward": false,
  "raum_total": 277120242.0,
  "raum_discretionary": 155183451.0,
  "raum_non_discretionary": 121936791.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 6,
  "advisory_employees": 5,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 54228102.0,
      "count": 140
    },
    "high_net_worth_individuals": {
      "raum": 216157539.0,
      "count": 31
    },
    "corporations_other_businesses": {
      "raum": 6734601.0,
      "count": 6
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 3,
  "states_registered": [
    "CA",
    "CT",
    "FL",
    "GA",
    "NJ",
    "NY",
    "TX"
  ],
  "websites": [
    "https://daveastorr.com",
    "https://wilmingtoncap.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/133839",
  "disclosure_items": [
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "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?"
    },
    {
      "item": "11.E(4)",
      "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?"
    }
  ],
  "city_as_filed": "GARDEN CITY",
  "url": "https://advisorcensus.com/firm/wilmington-capital-securities-llc-garden-city-ny-133839",
  "display_name": "Wilmington Capital Securities, LLC",
  "summary": "Wilmington Capital Securities, LLC is an SEC-registered investment advisory firm in Garden City, NY, registered since 2015, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.",
  "citation": "AdvisorCensus. Wilmington Capital Securities, LLC (CRD 133839): 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": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Wilmington Capital Securities, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Wilmington Capital Securities, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does Wilmington Capital Securities, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated March 30, 2026 states: Hourly rate: $150 to $350 an hour (financial planning advice and/or business consulting services); Flat fee: $750 to $2,500 (comprehensive financial planning services or business consulting). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Wilmington Capital Securities, LLC located?",
      "a": "Wilmington Capital Securities, LLC's principal office is in Garden City, NY, according to its Form ADV; the April 2026 filing also lists 3 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Wilmington Capital Securities, LLC registered with the SEC or a state?",
      "a": "Wilmington Capital Securities, LLC is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 133839."
    },
    {
      "q": "How much does Wilmington Capital Securities, LLC manage?",
      "a": "Wilmington Capital Securities, LLC reports $277,120,242 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (56% discretionary)."
    },
    {
      "q": "How have Wilmington Capital Securities, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Wilmington Capital Securities, LLC: Regulatory assets under management: $226,296,748 in the October 2021 data and $277,120,242 in the October 2026 data, up 22%. Total employees: 7 in October 2021 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Wilmington Capital Securities, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (140); high net worth individuals (31); corporations or other businesses not listed above (6)."
    },
    {
      "q": "Does Wilmington Capital Securities, LLC report any disciplinary disclosures?",
      "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.D(4) (another regulator's order in the past ten years), 11.E(2) (self-regulatory organization's finding of a rule violation), and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). 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/133839"
    },
    {
      "q": "Does Wilmington Capital Securities, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 30, 2026 says: \"WCS does not have any minimum requirements for opening or maintaining an account.\""
    },
    {
      "q": "What changed in Wilmington Capital Securities, LLC's recent Form ADV filings?",
      "a": "In the December 2025 filing data: Registered or notice-filed in CA, CT, GA."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 226296748.0,
      "total_employees": 7,
      "filing_date": "2021-03-17"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 236786712.0,
      "total_employees": 6,
      "filing_date": "2022-03-15"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 222703879.0,
      "total_employees": 6,
      "filing_date": "2023-06-01"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 243013873.0,
      "total_employees": 6,
      "filing_date": "2024-06-06"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 258250437.0,
      "total_employees": 6,
      "filing_date": "2025-03-31"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 277120242.0,
      "total_employees": 6,
      "filing_date": "2026-03-30"
    }
  ],
  "recent_changes": [
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Registered or notice-filed in CA, CT, GA."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 30, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Hourly rate: $150 to $350 an hour (financial planning advice and/or business consulting services)",
      "Flat fee: $750 to $2,500 (comprehensive financial planning services or business consulting)"
    ],
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "WCS does not have any minimum requirements for opening or maintaining an account."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $150 to $350 an hour (financial planning advice and/or business consulting services)"
        ],
        "quotes": [
          "WCS’s hourly fee will be billed at a rate of $150 - $350 per hour and will be negotiated and agreed upon by the parties in advance."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: $750 to $2,500 (comprehensive financial planning services or business consulting)"
        ],
        "quotes": [
          "WCS may charge a fixed fee for comprehensive financial planning services or business consulting in the range $750 to $2,500 per plan or project as contracted for with client in advance."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 0.0,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "hourly",
          "amount": null,
          "min": 150.0,
          "max": 350.0,
          "period": "hour",
          "service": "financial planning advice and/or business consulting services"
        },
        {
          "kind": "flat",
          "amount": null,
          "min": 750.0,
          "max": 2500.0,
          "period": "one_time",
          "service": "comprehensive financial planning services or business consulting"
        }
      ]
    },
    "quotes": [
      "WCS does not have any minimum requirements for opening or maintaining an account.",
      "WCS’s hourly fee will be billed at a rate of $150 - $350 per hour and will be negotiated and agreed upon by the parties in advance.",
      "WCS may charge a fixed fee for comprehensive financial planning services or business consulting in the range $750 to $2,500 per plan or project as contracted for with client in advance."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/wilmington-capital-securities-llc-garden-city-ny-133839.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 140,
      "fewer_than_5": false,
      "raum": 54228102.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 31,
      "fewer_than_5": false,
      "raum": 216157539.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 6,
      "fewer_than_5": false,
      "raum": 6734601.0
    }
  ],
  "disclosure_line": "Reports 3 disclosure items 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/133839",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}