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⚲
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| Wellington Shields Capital Management LLC
✚
|
|
|---|---|
| CRD # | 150529 |
| SEC # | 801-70712 |
| CIK # | 0001506071 |
| AUM | $1.0 BB (2023-03-21) |
| Employees | 20 (65% Investors, 65% Brokers) |
| Phone | 212-320-3000 |
| Address | 140 Broadway New York, NY 10005 |
| Source | [IAPD] [EDGAR] [Website] [LinkedIn] |
| Total AUM ($MM) |
|---|
| CIK | Period |
|---|---|
| 0001506071 | |
| / | |
| Sector | Form 13F Holdings | Cap ($MM) | Value ($MM) |
|---|---|---|---|
| Flowers Foods Inc | 5,544.9 | 388.7 | |
| Microsoft Corp | 1,918,222.4 | 31.7 | |
| Apple Inc | 2,382,844.0 | 25.7 | |
| Alphabet Inc | 1,482,566.4 | 16.4 | |
| Blackstone Group LP | 69,051.8 | 13.6 | |
| Mastercard Inc | 309,583.1 | 12.6 | |
| Edwards Lifesciences Corp | 58,898.5 | 10.2 | |
| Thermo Fisher Scientific Inc | 209,733.6 | 10.1 | |
| Alphabet Inc | 1,475,138.5 | 9.6 | |
| J P Morgan Chase & Co | 340,169.2 | 9.1 | |
| Amazon Com Inc | 1,092,997.8 | 7.9 | |
| Illumina Inc | 29,445.3 | 7.9 | |
| Zoetis Inc | 80,063.3 | 7.3 | |
| Exxon Mobil Corp | 385,508.3 | 6.6 | |
| Advanced Micro Devices Inc | 131,458.5 | 6.5 | |
| Pioneer Natural Resources Co | 56,940.2 | 6.4 | |
| Accenture PLC | 179,517.0 | 6.2 | |
| Palo Alto Networks Inc | 49,011.6 | 6.0 | |
| Devon Energy Corp/DE | 39,243.6 | 5.6 | |
| Illinois Tool Works Inc | 56,990.9 | 5.4 | |
| Target Corp | 67,013.4 | 5.2 | |
| Johnson & Johnson | 465,600.2 | 5.1 | |
| American Express Co | 107,077.6 | 4.2 | |
| Carey W P & Co LLC | 16,425.3 | 3.8 | |
| AbbVie Inc | 269,466.6 | 3.6 | |
| Apollo Global Management Inc | 29,452.5 | 3.2 | |
| Coca Cola Co | 269,985.6 | 3.1 | |
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| AUM Breakdown | Accounts | AUM ($MM) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 178 | 40.4 |
| (b) Individuals (high net worth individuals) | 240 | 723.5 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 0 | 0.0 |
| (g) Pension and profit sharing plans | 0 | 2.0 |
| (h) Charitable organizations | 12 | 207.1 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 17 | 61.2 |
| (n) Other | 0 | 0.0 |
| Total | 449 | 1,034.2 |
| By Discretionary | ||
| Discretionary | 430 | 910.3 |
| Non-Discretionary | 19 | 123.9 |
| Total | 449 | 1,034.2 |
| By Non-United States Persons | ||
| Non-United States Persons | 39.5 | |
| United States Persons | 994.7 | |
| Total | 449 | 1,034.2 |
| EDGAR Form | CIK | 2011 - 2024 |
|---|---|---|
| 13F-HR | [0001506071] |
| Related Firms | State | AUM ($BB) |
|---|---|---|
|
Wellington Management Company LLP
✚
|
MA | 1,204.7 |
|
Wellington Management International Limited
✚
|
101.3 | |
|
Wellington Alternative Investments LLC
✚
|
MA | 43.4 |
|
Wellington Management Singapore PTE Ltd
✚
|
29.4 | |
|
Wellington Management Japan PTE Ltd
✚
|
19.0 | |
|
Wellington Management Hong Kong Limited
✚
|
13.4 | |
|
Wellington Funds US LLC
✚
|
MA | 5.2 |
|
Wellington Shields Capital Management LLC
✚
|
NY | 1.0 |
|
Wellington Consulting Services Inc
✚
|
VA | 1.0 |
|
Wellington Shields & Co LLC
✚
|
NY | 0.4 |
|
Wellington-Altus USA Inc
✚
|
0.0 | |
|
Wellington Management Co LLP
✚
|
MA | 0.0 |
| Comparable Firms | State | AUM ($BB) |
|---|---|---|
|
Quattro Financial Advisors LLC
✚
|
TX | 1.0 |
|
True Link Financial Advisors LLC
✚
|
CA | 1.0 |
|
Moneco Advisors LLC
✚
|
CT | 1.0 |
|
Corbyn Investment Management Inc
✚
|
MD | 1.0 |
|
Raffa Wealth Management LLC
✚
|
DC | 1.0 |
|
Endurance Wealth Management Inc
✚
|
RI | 1.0 |
|
ICA Group Wealth Management LLC
✚
|
CO | 1.0 |
|
Stoneridge PMG Advisors LLC
✚
|
PA | 1.0 |
|
Auxano Advisors LLC
✚
|
WA | 1.0 |
|
Prudent Management Associates
✚
|
PA | 1.0 |