Wellington Shields Capital Management, LLC is an SEC registered investment adviser organized as a limited liability company with a primary office location in New York, NY. Its latest Form ADV filing, dated March 24, 2026, reports $1.2B in regulatory assets under management, 20 employees, 1 office, and 578 accounts.
Assets Under Management
$1.2B
Employees
20
Offices
1 office
Total Clients
574
Primary office
NEW YORK, NY
60 BROAD ST., 39TH FLOOR, NEW YORK, NY, United States
Portfolio management for individuals and small businesses
Fee models offered
2 types reported
Asset based fees
Fixed fees
Sources checked May 16, 2026
Client Coverage Demographics
Top client segmentHNWI represent 47.6% of total clients.
Top client categories% of clientsClients
1
HNWI
47.6%
273
2
Individuals
47.2%
271
3
Corporations
2.8%
16
4
Charitable
2.4%
14
Categories with <5 clients
Pension and profit sharing plans<5 clients
Regulatory Assets Under Management Breakdown
Total regulatory assets under management$1.2Bas of March 24, 2026
Discretionary89.6%
$1.1B
90% of total RAUM89.6%
Non-discretionary10.4%
$122M
10% of total RAUM10.4%
Regulatory assets under management are split between discretionary and non-discretionary assets.
Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM$1.2B
Total Accounts578
10Y AUM Change+$198M (+20.2%)
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees20
Clients per Employee29:1
10Y Employee Change-7 (-25.9%)
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.