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| Happy Holidays!! thanks for using AUM13F!! |
| Wellington Shields Capital Management LLC
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|---|---|
| CRD # | 150529 |
| SEC # | 801-70712 |
| CIK # | 0001506071 |
| AUM | $999.7 M (2025-03-24) |
| Employees | 21 (62% Investors, 62% Brokers) |
| Phone | 212-320-3000 |
| Address | 60 Broad St New York, NY 10004 |
| Source | [IAPD] [EDGAR] [Website] [LinkedIn] |
| Total AUM ($M) |
|---|
| Sector | Form 13F Holdings | Value ($M) | |
|---|---|---|---|
| Microsoft Corp | 52.4 | ||
| Apple Inc | 25.1 | ||
| Alphabet Inc | 24.9 | ||
| Blackstone Group LP | 23.3 | ||
| Amazon Com Inc | 21.7 | ||
| J P Morgan Chase & Co | 19.8 | ||
| Alphabet Inc | 17.5 | ||
| Mastercard Inc | 17.5 | ||
| Palo Alto Networks Inc | 12.4 | ||
| Exxon Mobil Corp | 11.9 | ||
| View All | |||
| Holdings by Sector ($M) |
|---|
| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 236 | 58.3 |
| (b) Individuals (high net worth individuals) | 255 | 687.1 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 0 | 0.0 |
| (g) Pension and profit sharing plans | 0 | 5.3 |
| (h) Charitable organizations | 15 | 181.8 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 17 | 67.4 |
| (n) Other | 0 | 0.0 |
| Total | 527 | 999.7 |
| By Discretionary | ||
| Discretionary | 513 | 890.9 |
| Non-Discretionary | 14 | 108.8 |
| Total | 527 | 999.7 |
| By Non-United States Persons | ||
| Non-United States Persons | 31.3 | |
| United States Persons | 968.4 | |
| Total | 527 | 999.7 |
| EDGAR Form | CIK | 2011 - 2025 |
|---|---|---|
| 13F-HR | [0001506071] |
| Related Firms | State | AUM ($B) |
|---|---|---|
|
Wellington Management Company LLP
✚
|
MA | 1,305.7 |
|
Wellington Alternative Investments LLC
✚
|
MA | 58.7 |
|
Wellington Management Japan PTE Ltd
✚
|
17.9 | |
|
Wellington Management Hong Kong Limited
✚
|
11.8 | |
|
Wellington Funds US LLC
✚
|
MA | 5.0 |
|
Wellington Consulting Services Inc
✚
|
VA | 1.3 |
|
Wellington Shields Capital Management LLC
✚
|
NY | 1.0 |
|
Wellington Shields & Co LLC
✚
|
NY | 0.5 |
|
Wellington-Altus USA Inc
✚
|
0.1 | |
|
Wellington Management Singapore PTE Ltd
✚
|
0.0 | |
|
Wellington Management Co LLP
✚
|
MA | 0.0 |
|
Wellington Management International Limited
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|
0.0 |
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|---|---|---|
|
Lexaurum Advisors LLC
✚
|
KS | 1.0 |
|
Holt Capital Advisors LLC
✚
|
TX | 1.0 |
|
Avenir Corporation
✚
|
VA | 1.0 |
|
Founders Financial Alliance LLC
✚
|
NC | 1.0 |
|
Cortland Associates Inc
✚
|
MO | 1.0 |
|
Associated Investment Services Inc
✚
|
WI | 1.0 |
|
Mattern Capital Management LLC
✚
|
CO | 1.0 |
|
St Clair Advisors LLC
✚
|
OH | 1.0 |
|
Marshall & Sterling Wealth Advisors Inc
✚
|
NY | 1.0 |
|
Investment Advisory Group LLC
✚
|
FL | 1.0 |