Wellington Shields Capital Management, Llc
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 150529
· SEC file 801-70712
· New York, NY
· WWW.WELLINGTONSHIELDS.COM
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ADV data as of Mar 24, 2026
- Regulatory AUM
- $1.2B
- Discretionary
- $1.1B
- Clients
- 574
- Avg AUM / client
- $2.0M
- Accounts
- 578
- Employees
- 20
AUM over time
$727M
$1.2B
Dec 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 24, 2026
Investments (13F portfolio — 325 positions, $666,157,927)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Microsoft Corp Com | Stock | $45,778,039 | 123,668 | 6.87% | 3.9% |
| 2 | Alphabet Inc Cap Stk Cl C | Stock | $36,235,786 | 126,319 | 5.44% | 3.09% |
| 3 | Apple Inc Com | Stock | $26,995,730 | 106,370 | 4.05% | 2.3% |
| 4 | Alphabet Inc Cap Stk Cl A | Stock | $25,221,888 | 87,710 | 3.79% | 2.15% |
| 5 | Amazon Com Inc Com | Stock | $22,961,976 | 110,251 | 3.45% | 1.96% |
| 6 | Bloom Energy Corp Com Cl A | Stock | $21,620,817 | 159,575 | 3.25% | 1.84% |
| 7 | Jpmorgan Chase & Co Com | Stock | $21,252,186 | 72,247 | 3.19% | 1.81% |
| 8 | Exxon Mobil Corp Com | Stock | $17,821,813 | 105,044 | 2.68% | 1.52% |
| 9 | Mastercard Incorporated Cl A | Stock | $15,657,845 | 31,337 | 2.35% | 1.33% |
| 10 | American Express Co Com | Stock | $15,454,984 | 51,094 | 2.32% | 1.32% |
| 11 | Qxo Inc Com New | Stock | $12,973,550 | 668,051 | 1.95% | 1.11% |
| 12 | Blackstone Inc Com | Stock | $12,691,924 | 110,374 | 1.91% | 1.08% |
| 13 | Mks Inc. Com | Stock | $12,000,566 | 52,220 | 1.8% | 1.02% |
| 14 | Boeing Co Com | Stock | $11,653,235 | 58,550 | 1.75% | 0.99% |
| 15 | Quanta Svcs Inc Com | Stock | $11,159,381 | 20,326 | 1.68% | 0.95% |
| 16 | Advanced Micro Devices Inc Com | Stock | $10,453,251 | 51,385 | 1.57% | 0.89% |
| 17 | State Street Spdr S&P Metals & Mining Etf | ETF | $10,352,795 | 95,850 | 1.55% | 0.88% |
| 18 | Taiwan Semiconductor Manufact Sponsored Ads | ADR | $9,960,845 | 29,474 | 1.5% | 0.85% |
| 19 | Nvidia Corporation Com | Stock | $9,304,350 | 53,351 | 1.4% | 0.79% |
| 20 | Capital One Finl Corp Com | Stock | $8,615,446 | 47,226 | 1.29% | 0.73% |
| 21 | Vanguard S&P 500 Etf | ETF | $8,164,186 | 13,663 | 1.23% | 0.7% |
| 22 | Palo Alto Networks Inc Com | Stock | $8,117,964 | 50,636 | 1.22% | 0.69% |
| 23 | Ishares Semiconductor Etf | ETF | $7,574,197 | 23,046 | 1.14% | 0.65% |
| 24 | Apollo Global Mgmt Inc Com | Stock | $6,152,784 | 55,222 | 0.92% | 0.52% |
| 25 | Mckesson Corp Com | Stock | $5,913,870 | 6,834 | 0.89% | 0.5% |
Top 25 of 325 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 271 | $65.7M | 5.6% |
| High net worth individuals | 273 | $811M | 69.1% |
| Pension and profit sharing plans | Fewer than 5 clients | $6.6M | 0.56% |
| Charitable organizations | 14 | $213M | 18.1% |
| Corporations and other businesses | 16 | $77.2M | 6.58% |
People (16)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Vincent Shields | Elected Manager | Oct 2009 (17y) | ≈ 9.38% – 37.5% via Shields & Co. | |
| Paul Immo Gulden | Elected Manager | Oct 2009 (17y) | Less than 5% | |
| Shadek, Laurence, Arthur | Elected Manager | Oct 2009 (17y) | ≈ 4.69% – 25% via H. G. Wellington & Co. Inc. Capital Management Division | |
| Thomas Waters Grant | Elected Manager | Oct 2009 (17y) | GP / trustee / elected manager of Wellington Shields Holdings, Llc (indirect) | |
| William Jameson Mcfadden | Elected Manager | Oct 2009 (17y) | ≈ 9.38% – 37.5% via Shields & Co. | |
| Stephen John Portas | Chief Compliance Officer | Mar 2013 (13y) | Less than 5% | |
| Curcuru, Philip, Michael | Vp And Controller | Jan 2014 (13y) | Less than 5% | |
| Shields, David, Larus | Owner | Sep 2022 (4y) | ≈ 9.38% – 37.5% via Shields & Co. | |
| Kristina Metz Furnari | Registered representative | Mar 2012 (14y) | ||
| Mark Porter Sperry | Registered representative | Jan 2016 (11y) | ||
| Eileen Frances Connolly | Registered representative | Mar 2020 (6y) | ||
| Julian Lecraw | Registered representative | Aug 2020 (6y) | ||
| John Peter Kelly | Registered representative | Aug 2021 (5y) | ||
| Geza John Marx | Registered representative | Sep 2021 (5y) | ||
| Joseph Barbera | Registered representative | Jun 2023 (3y) | ||
| Charles Richard Thompson | Registered representative | Jan 2025 (2y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Wellington Shields Holdings, Llc | Member/Owner | Oct 2009 | A | 75% or more |
| Shields & Co. | Member/Owner | Nov 2008 | B | ≈ 37.5% – 75% via Wellington Shields Holdings, Llc |
| H. G. Wellington & Co. Inc. Capital Management Division | Member/Owner | Oct 2009 | B | ≈ 18.75% – 50% via Wellington Shields Holdings, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- David Vincent Shields: 25% – 50% of Shields & Co. × 50% – 75% of Wellington Shields Holdings, Llc × 75% – 100% direct ≈ 9.38% – 37.5% of the firm
- Shadek, Laurence, Arthur: 25% – 50% of H. G. Wellington & Co. Inc. Capital Management Division × 25% – 50% of Wellington Shields Holdings, Llc × 75% – 100% direct ≈ 4.69% – 25% of the firm
- William Jameson Mcfadden: 25% – 50% of Shields & Co. × 50% – 75% of Wellington Shields Holdings, Llc × 75% – 100% direct ≈ 9.38% – 37.5% of the firm
- Shields, David, Larus: 25% – 50% of Shields & Co. × 50% – 75% of Wellington Shields Holdings, Llc × 75% – 100% direct ≈ 9.38% – 37.5% of the firm
- Shields & Co.: 50% – 75% of Wellington Shields Holdings, Llc × 75% – 100% direct ≈ 37.5% – 75% of the firm
- H. G. Wellington & Co. Inc. Capital Management Division: 25% – 50% of Wellington Shields Holdings, Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/24/2026 | 1.2 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Pershing $1.0B (88% of AUM) Mar 2026
- Wells Fargo $740M (81% of AUM) Oct 2024
- J.P. Morgan $117M (12% of AUM) Jul 2020
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 24, 2026.
View current Form ADV (SEC/IAPD) ↗