AdvisorGrade
Fee-basedFiduciaryNo reported disclosuresLocalInternational

Wellington Shields & Co., LLC

Wellington Shields & Co., LLC is a fee-based, SEC-registered investment adviser in New York, New York, registered with the SEC since 2010, managing approximately $546M. As an SEC-registered adviser it is held to a fiduciary standard. Its exact fee schedule and account minimums are disclosed in Form ADV Part 2A.

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Source: SEC Form ADV · CRD #149021 · SEC #801-70755 · SEC-registered since 2010 (16 yrs) · Last filing data January 1, 2026

AUM
$546M

as of 2026

Fee model
Fee-based

per Form ADV 5.E

Clients
Not reported

Form ADV 5.C — may be institutional

Employees
25

15 advisers

Assets per adviser

$36Mper adviser

A scale-normalized measure that lets you compare large and small firms. The typical firm in our directory manages about $102M per adviser — this firm is more adviser-heavy (fewer assets per adviser).

From wellingtonshields.com

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Overview

AI-generated summary

Wellington Shields & Co., LLC is a fee-based, SEC-registered investment adviser based in New York, New York. It reported approximately $546M in regulatory assets under management on its most recent Form ADV. The firm reported no disclosures on its most recent Form ADV filing.

This summary is generated from Form ADV data and may not capture all nuances. Always review the complete SEC filing before making decisions.

Firm details

CRD #
149021
SEC #
801-70755
Headquarters
New York, NY
Employees
25

Clients served

Client types not reported on this filing.

Fees & compensation

  • Compensation model: Fee-based — the firm reports client fees and may also receive commissions on certain products.
  • Typical fee range: See Part 2A. Exact advisory fee rates are reported in Form ADV Part 2A, not Part 1.
  • Account minimum: See Part 2A. Minimums are disclosed in the firm's Part 2A brochure.
  • Custodial, trading, and fund expenses may apply in addition to advisory fees. See the firm's Form ADV Part 2A for the complete fee schedule.

Assets under management

2026$546M
Assets under management by year
YearReported AUM
2026$546M

Reflects the most recent Form ADV filing. Multi-year history is added as additional historical filings are ingested.

Disclosures

Wellington Shields & Co., LLC reported no disclosures on its most recent Form ADV (Item 11). Always confirm the current record on the SEC IAPD site.

Frequently asked questions

Is Wellington Shields & Co., LLC a fiduciary?+

Yes. Wellington Shields & Co., LLC is an SEC-registered investment adviser (CRD #149021), which means it is held to a fiduciary standard and must act in its clients' best interest. Verify its current status on the SEC's Investment Adviser Public Disclosure (IAPD) site.

How is Wellington Shields & Co., LLC compensated?+

Wellington Shields & Co., LLC reports a fee-based compensation model on its Form ADV. Fee-based advisers charge client fees and may also earn commissions on certain products. Exact fee rates and account minimums are disclosed in the firm's Form ADV Part 2A brochure.

How much money does Wellington Shields & Co., LLC manage?+

Wellington Shields & Co., LLC reported approximately $546M in regulatory assets under management as of its most recent Form ADV filing.

Does Wellington Shields & Co., LLC have any disclosures?+

Wellington Shields & Co., LLC reported no disclosures on its most recent Form ADV (Item 11). Always confirm the current record on the SEC IAPD site.

This profile is generated from publicly available SEC filings. Wellington Shields & Co., LLC has not verified or endorsed this information. Last updated from filings: January 1, 2026. View the official filing at SEC IAPD.

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