Wellington Shields Capital Management, LLC
● SEC registered since 2010CRD 150529SEC# 801-70712New York, NY
Reg. AUM
$1.17B
Employees
20
Accounts
578
Location
New York, NY
Wellington Shields Capital Management, LLC assets under management
Wellington Shields Capital Management, LLC is an investment advisory firm registered with the SEC based in New York, NY. The firm has been registered since 2010. It reports $1.2 billion in regulatory assets under management and employs 20 people.
Wellington Shields Capital Management, LLC owners & executives
8 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| David Vincent Shields Control | Chairman | Under 5% | 2023 |
| Paul Immo Gulden Control | Elected Manager | Under 5% | 2009 |
| Philip Michael Curcuru Control | Vp And Controller | Under 5% | 2014 |
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Join to unlock · $37/moFrequently asked questions
How much does Wellington Shields Capital Management, LLC manage?
Wellington Shields Capital Management, LLC reports $1.2 billion in regulatory assets under management on its Form ADV.
How many employees does Wellington Shields Capital Management, LLC have?
Wellington Shields Capital Management, LLC reports 20 employees.
Where is Wellington Shields Capital Management, LLC located?
Wellington Shields Capital Management, LLC is based in New York, NY and has been SEC-registered since 2010.
Does Wellington Shields Capital Management, LLC disclose fund performance?
Wellington Shields Capital Management, LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 60 Broad St., 39th Floor, New York, NY 10004 |
| Phone | 212-320-3000 |
| Fax | 212-320-3040 |
| Office hours | 9:00 a.m. - 5:00 p.m. |
| SEC region | New York Regional Office (NYRO) |
| CIK | 1506071 |
| Discloses disciplinary history | Yes |
Regulatory AUM
$1.17B▲ 17%
Mar '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 30%
Larger than 70% of 16,271 advisers
EmployeesTop 24%
More than 76% of 16,825 advisers
Assets under management
$1.17Bregulatory AUM
Discretionary $1.05BNon-discretionary $122.1M