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WELLINGTON SHIELDS & CO., LLC
CRD 149021File 801-70755
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Mar 17, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$546.0M
Above cohort median (national)
Discretionary AUM
$511.1M
Non-discretionary $34.8M
Clients
586
593 accounts
Employees
25
Below cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Mar 9, 2010
- Principal office
- 60 BROAD ST., 39TH FLOOR, NEW YORK, NY, 10004
- Phone
- 212-320-2000
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $546.0M
- Discretionary AUM
- $511.1M
- Non-discretionary AUM
- $34.8M
- Discretionary accounts
- 586
- Non-discretionary accounts
- 7
- Total accounts
- 593
- AUM per client
- $932K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 6 | $37.2M |
| Charitable organizations | Fewer than 5 | $10.0M |
| High net worth individuals | 164 | $419.0M |
| Pension and profit sharing plans | Fewer than 5 | $1.3M |
| Individuals (other than high net worth individuals) | 416 | $78.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 519 | 586 | increased by67 |
| Apr 1, 2026 | AUM | $470,890,341 | $545,964,414 | increased by$75,074,073 |
| Apr 1, 2026 | Accounts | 524 | 593 | increased by69 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 22 | 25 | increased by3 |
| May 1, 2025 vs Oct 1, 2022 | Custody | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 352 | 519 | increased by167 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $419,772,254 | $470,890,341 | increased by$51,118,087 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 354 | 524 | increased by170 |
| Apr 1, 2022 | Employees | 20 | 22 | increased by2 |
| Apr 1, 2022 | Clients | 283 | 352 | increased by69 |
| Apr 1, 2022 | AUM | $362,183,544 | $419,772,254 | increased by$57,588,710 |
| Apr 1, 2022 | Accounts | 285 | 354 | increased by69 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “WELLINGTON SHIELDS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“WELLINGTON SHIELDS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.