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| Wellington Shields Capital Management LLC
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| CRD # | 150529 |
| SEC # | 801-70712 |
| CIK # | 0001506071 |
| AUM | 1,173.4 M (2026-03-24) |
| Employees | 20 (65% Investors, 65% Brokers) |
| Fees | |
| Minimum | |
| Phone | 212-320-3000 |
| Address | 60 Broad St New York, NY 10004 |
| Source | [IAPD] [EDGAR] [Website] [LinkedIn] |
| Total AUM ($M) |
|---|
| CIK | Period |
|---|---|
| 0001506071 |
| Sector | Form 13F Holdings | Value ($M) | |
|---|---|---|---|
| Microsoft Corp | 45.8 | ||
| Alphabet Inc | 36.2 | ||
| Apple Inc | 27.0 | ||
| Alphabet Inc | 25.2 | ||
| Amazon Com Inc | 23.0 | ||
| Bloom Energy Corp | 21.6 | ||
| J P Morgan Chase & Co | 21.3 | ||
| Mastercard Inc | 15.7 | ||
| American Express Co | 15.5 | ||
| Silversun Technologies Inc | 13.0 | ||
| Blackstone Group LP | 12.7 | ||
| MKS Instruments Inc | 12.0 | ||
| Boeing Co | 11.7 | ||
| Quanta Services Inc | 11.2 | ||
| Advanced Micro Devices Inc | 10.5 | ||
| Taiwan Semiconductor Manufacturing Co Ltd | 10.0 | ||
| Nvidia Corp | 9.3 | ||
| Capital One Financial Corp | 8.6 | ||
| Palo Alto Networks Inc | 8.1 | ||
| Apollo Global Management Inc | 6.2 | ||
| McKesson Corp | 5.9 | ||
| United Technologies Corp /DE/ | 5.9 | ||
| Broadcom Inc | 5.6 | ||
| Lilly Eli & Co | 5.2 | ||
| Linde PLC | 5.1 | ||
| Flowers Foods Inc | 4.8 | ||
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| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 271 | 65.7 |
| (b) Individuals (high net worth individuals) | 273 | 811.3 |
| (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 | 6.6 |
| (h) Charitable organizations | 14 | 212.6 |
| (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 | 16 | 77.2 |
| (n) Other | 0 | 0.0 |
| Total | 578 | 1,173.4 |
| By Discretionary | ||
| Discretionary | 564 | 1,051.3 |
| Non-Discretionary | 14 | 122.1 |
| Total | 578 | 1,173.4 |
| By Non-United States Persons | ||
| Non-United States Persons | 42.2 | |
| United States Persons | 1,131.1 | |
| Total | 578 | 1,173.4 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 13F-HR | [0001506071] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $0.4B |
| Serves | Institutional, Retail |
| Related Firms | State | AUM |
|---|---|---|
|
Wellington Management Company LLP
✚
|
MA | 1,428.05 B |
|
Wellington Alternative Investments LLC
✚
|
MA | 92.17 B |
|
Wellington Management Japan PTE Ltd
✚
|
17.75 B | |
|
Wellington Management Hong Kong Limited
✚
|
14.15 B | |
|
Wellington Funds US LLC
✚
|
MA | 5,408.1 M |
|
Wellington Consulting Services Inc
✚
|
VA | 1,689.3 M |
|
Wellington Shields Capital Management LLC
✚
|
NY | 1,173.4 M |
|
Wellington Shields & Co LLC
✚
|
NY | 546.0 M |
|
Wellington-Altus USA Inc
✚
|
146.2 M | |
|
Wellington Management Singapore PTE Ltd
✚
|
||
|
Wellington Management Co LLP
✚
|
MA | |
|
Wellington Management International Limited
✚
|
| Comparable Firms | State | AUM |
|---|---|---|
|
Crumly and Associates Incorporated
✚
|
IL | 1,179.6 M |
|
Crusonia Wealth Advisors LLC
✚
|
CO | 1,178.4 M |
|
Total Wealth Planning LLC
✚
|
OH | 1,178.1 M |
|
Dinuzzo Private Wealth Inc
✚
|
PA | 1,177.3 M |
|
Deerfield Financial Advisors Inc
✚
|
IN | 1,176.2 M |
|
Signet Financial Management LLC
✚
|
NJ | 1,176.0 M |
|
Kearns & Associates LLC
✚
|
1,175.7 M | |
|
Brand Asset Management Group Inc
✚
|
MO | 1,174.4 M |
|
Associated Investment Services Inc
✚
|
WI | 1,169.2 M |
|
Allegiant Wealth Advisors LLC
✚
|
OK | 1,168.3 M |