Investment adviser · CRD 149021
WELLINGTON SHIELDS & CO., LLC
Investment adviser filing (IA)
NEW YORK, NY, United States · Form ADV filed Mar 17, 2026
- Regulatory AUM
- $546M Form ADV · Item 5.F
- Client accounts
- 593 Accounts, not individual clients
- Employees
- 25 Reported in this filing
- Advisory professionals
- 15 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| High-net-worth individuals | 164 | $419,016,075 | 76.7% |
| Individuals | 416 | $78,452,725 | 14.4% |
| Corporations & businesses | 6 | $37,194,472 | 6.8% |
| Charities | Fewer than 5 | $10,037,657 | 1.8% |
| Retirement plans | Fewer than 5 | $1,263,485 | 0.2% |
Filing source
Form ADV 2072281 · Mar 17, 2026 · Item 5.D
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Private funds & service providers
0 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
This filing answers No to private funds.
Services & filing details
Most recent filing: Mar 17, 2026. View historical filings
Reported services
Individual portfolio management
Compensation
Percentage of assets · Fixed
Principal office
60 BROAD ST., 39TH FLOORNEW YORK, NY, 10004, United States
CRD 149021
Filing source
Form ADV 2072281 · Mar 17, 2026 · Items 1 & 5
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.