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| Happy Holidays!! thanks for using AUM13F!! |
| Wellington Shields & Co LLC
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| CRD # | 149021 |
| SEC # | 801-70755 |
| CIK # | 0001506073, 0001450943 |
| AUM | $470.9 M (2025-03-24) |
| Employees | 25 (60% Investors, 76% Brokers) |
| Phone | 212-320-2000 |
| Address | 60 Broad St New York, NY 10004 |
| Source | [IAPD] [EDGAR] [Website] [LinkedIn] |
| Total AUM ($M) |
|---|
| CIK | Period |
|---|---|
| 0001506073 0001450943 |
| Sector | Form 13F Holdings | Value ($M) | |
|---|---|---|---|
| Microsoft Corp | 34.2 | ||
| Apple Inc | 22.7 | ||
| J P Morgan Chase & Co | 14.4 | ||
| Nvidia Corp | 10.5 | ||
| Lilly Eli & Co | 10.0 | ||
| International Business Machines Corp | 8.0 | ||
| Exxon Mobil Corp | 7.3 | ||
| Amazon Com Inc | 6.5 | ||
| Alphabet Inc | 6.1 | ||
| AbbVie Inc | 5.5 | ||
| Flowers Foods Inc | 5.2 | ||
| Blackstone Group LP | 4.9 | ||
| Honeywell International Inc | 4.8 | ||
| VISA Inc | 4.4 | ||
| Union Pacific Corp | 4.0 | ||
| Walt Disney Co | 3.8 | ||
| Abbott Laboratories | 3.6 | ||
| Broadcom Inc | 3.6 | ||
| Wal Mart Stores Inc | 3.6 | ||
| Caterpillar Inc | 3.5 | ||
| Alphabet Inc | 3.3 | ||
| McGraw-hill Companies Inc | 3.3 | ||
| Illumina Inc | 2.8 | ||
| Vector Acquisition Corp | 2.7 | ||
| General Electric Co | 2.7 | ||
| Citigroup Inc | 2.7 | ||
| Kinder Morgan Inc | 2.7 | ||
| Apollo Global Management Inc | 2.6 | ||
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| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 365 | 62.7 |
| (b) Individuals (high net worth individuals) | 149 | 380.4 |
| (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 | 0.8 |
| (h) Charitable organizations | 0 | 8.6 |
| (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 | 5 | 18.4 |
| (n) Other | 0 | 0.0 |
| Total | 524 | 470.9 |
| By Discretionary | ||
| Discretionary | 516 | 430.5 |
| Non-Discretionary | 8 | 40.4 |
| Total | 524 | 470.9 |
| By Non-United States Persons | ||
| Non-United States Persons | 4.7 | |
| United States Persons | 466.2 | |
| Total | 524 | 470.9 |
| EDGAR Form | CIK | 2011 - 2025 |
|---|---|---|
| 13F-HR | [0001506073] |
| Related Firms | State | AUM ($B) |
|---|---|---|
|
Wellington Management Company LLP
✚
|
MA | 1,305.7 |
|
Wellington Alternative Investments LLC
✚
|
MA | 58.7 |
|
Wellington Management Japan PTE Ltd
✚
|
17.9 | |
|
Wellington Management Hong Kong Limited
✚
|
11.8 | |
|
Wellington Funds US LLC
✚
|
MA | 5.0 |
|
Wellington Consulting Services Inc
✚
|
VA | 1.3 |
|
Wellington Shields Capital Management LLC
✚
|
NY | 1.0 |
|
Wellington Shields & Co LLC
✚
|
NY | 0.5 |
|
Wellington-Altus USA Inc
✚
|
0.1 | |
|
Wellington Management Singapore PTE Ltd
✚
|
0.0 | |
|
Wellington Management Co LLP
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|
MA | 0.0 |
|
Wellington Management International Limited
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|
0.0 |
| Comparable Firms | State | AUM ($B) |
|---|---|---|
|
Libra Wealth LLC
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|
CA | 0.5 |
|
McLaughlin Ryder Investments Inc
✚
|
VA | 0.5 |
|
Frederick Financial Consultants LLC
✚
|
MD | 0.5 |
|
Walter C Flower & Co Inc
✚
|
0.5 | |
|
DDFG Inc
✚
|
CA | 0.5 |
|
Hoxton Wealth USA LLC
✚
|
NJ | 0.5 |
|
Stokes Capital Advisors LLC
✚
|
SC | 0.5 |
|
Drexel Morgan & Co
✚
|
PA | 0.5 |
|
Narus Financial Partners LLC
✚
|
UT | 0.5 |
|
Vickerman Investment Advisors Inc
✚
|
WA | 0.5 |