Data / Investment advisers / New York / Wellington Shields & Co., LLC
Wellington Shields & Co., LLC, New York, NY: $546 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Wellington Shields & Co., LLC is an SEC registered investment adviser with its main office in New York, New York and reports $546 million in regulatory assets under management in its Form ADV filed March 17, 2026. Its clients include high net worth individuals, individuals and corporations and other businesses. It is paid through a percentage of assets under management and fixed fees.
The request: Watch Wellington Shields & Co., LLC (CRD number 149021): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 149021
- SEC file number
- 801-70755
- SEC status
- Approved, effective March 9, 2010
- Main office
- 60 Broad St. 39th Floor, New York, NY 10004
- Phone
- (212) 320-2000
- Website
- wellingtonshields.com
- Regulatory AUM
- $545,964,414 in the Form ADV filed March 17, 2026
- Discretionary AUM
- $511,138,228
- Non discretionary AUM
- $34,826,186
- Accounts
- 593
- Employees
- 25, of which 15 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, fixed fees
- Other offices
- 2
- Form ADV Item 11 disclosures
- Reported: self-regulatory organization actions
- Latest Form ADV filing
- March 17, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 164 | $419 million |
| Individuals (other than high net worth individuals) | 416 | $78.5 million |
| Corporations or other businesses | 6 | $37.2 million |
| Charitable organizations | Fewer than 5 | $10 million |
| Pension and profit sharing plans | Fewer than 5 | $1.3 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $546 million | March 17, 2026 |
| December 1, 2025 | $470.9 million | March 24, 2025 |
Other advisers in New York
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Sma Capital LLC | New York | $553.5 million | Not listed | adviserinfo.sec.gov |
| MW Advisor, LLC | New York | $552.5 million | 1 | adviserinfo.sec.gov |
| New Holland Trading LLC | New York | $550 million | Not listed | adviserinfo.sec.gov |
| Terramont Infrastructure Management LLC | New York | $549.9 million | 6 | adviserinfo.sec.gov |
| Exome Asset Management LLC | New York | $548.6 million | 2 | adviserinfo.sec.gov |
| Amherst Capital Management LLC | New York | $544.7 million | 1 | adviserinfo.sec.gov |
| Farol Investment Advisers LP | New York | $543.7 million | 7 | adviserinfo.sec.gov |
| Andalusian Credit Partners, LLC | New York | $541.3 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in New York, NY
- Investment advisers in New York
- Advisers with $500 million to $1 billion in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Wellington Shields & Co., LLC on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.