RIA Intel›Advisers›New York›WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC

WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC

Advisory

N·NEW YORK, NY

Data as of Mar 24, 2026 · Source: SEC Form ADV

Total AUM

$1.2B

1-Year AUM Growth

+10.0%

3-Year CAGR

-5.8%

Employees

13

Assets Under Management

Total AUM$1.2B

Discretionary AUM$1.1B

Non-Discretionary AUM$122M

Discretionary %89.6%

Total Clients523

Team

Total Employees13

Investment Advisers20

Employee Growth (1Y)0.0%

Filing History

Total Filings on Record38

First FilingOct 9, 2009

Latest FilingMar 24, 2026

🔒 Full AUM trend chart and 38 historical filings spanning 17+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.