Overview
Assets Under Management: $1000 million
Headquarters: NEW YORK, NY
High-Net-Worth Clients: 255
Average Client Assets: $2.7 million
Frequently Asked Questions
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC is a fee-based investment advisor. Detailed fee schedules are available in their SEC Form ADV filing.
Yes. As an SEC-registered investment advisor (CRD #150529), WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC is subject to fiduciary duty under federal law.
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC is headquartered in NEW YORK, NY.
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC serves 255 high-net-worth clients according to their SEC filing dated January 12, 2026. View client details ↓
According to their SEC Form ADV, WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC offers portfolio management for individuals and portfolio management for institutional clients. View all service details ↓
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC manages $1000 million in client assets according to their SEC filing dated January 12, 2026.
According to their SEC Form ADV, WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC serves high-net-worth individuals and institutional clients. View client details ↓
Services Offered
Services: Portfolio Management for Individuals, Portfolio Management for Institutional Clients
Clients
Number of High-Net-Worth Clients: 255
Percentage of Firm Assets Belonging to High-Net-Worth Clients: 68.73%
Average Client Assets: $2.7 million
Total Client Accounts: 527
Discretionary Accounts: 513
Non-Discretionary Accounts: 14
Regulatory Filings
CRD Number: 150529
Filing ID: 2033761
Last Filing Date: 2026-01-12 16:12:17