Wellington Shields Capital Management, LLC

RIASEC RegisteredEst. 2010
Total AUM
$1.2B
Discretionary
$1.1B
90% of AUM
Avg account
$2M
Accounts
578
Employees
20
Advisory reps
14

Firm details

Headquarters
New York, New York
CRD number
150529
Registered since
March 9, 2010
Website
www.wellingtonshields.com
Custodians
PERSHING LLC
Fee structure
Percentage of AUM, Fixed Fees
Client types
  • HNWI69.14%
  • Charitable Organizations18.12%
  • Corporations / Businesses6.58%
  • Individuals5.6%
  • Pension & Profit Sharing Plans0.56%
Services
Portfolio Management for IndividualsPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Wellington Shields Capital Management, LLC is a privately held investment adviser organized as an LLC and registered with the SEC in 2010. The firm provides discretionary portfolio management to individuals, families and institutions, and also offers non-discretionary advisory relationships. Compensation comes through a mix of percentage-of-AUM fees and fixed fees. Wellington Shields identifies as equity-focused and is not flagged as an active ESG investor. The firm also maintains industry relationships that include broker-dealer activity and other investment-adviser affiliations.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 67%, State & Local Bonds 18%, Public Funds/Mutual Funds 6%, US Government Bonds 5%, Cash & Cash Equivalents 4%67%
  • Exchange Traded Equities67%
  • State & Local Bonds18%
  • Public Funds/Mutual Funds6%
  • US Government Bonds5%
  • Cash & Cash Equivalents4%

Owners & executives

3 of 5
  • William Mcfadden

    William Mcfadden

    CEO & Managing MemberCRD 5337971

  • David Shields

    David Shields

    CEO & Managing MemberCRD 1072810

  • Stephen Portas

    Stephen Portas

    President, Chief Compliance OfficerCRD 2482930

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Contacts

3 of 9
  • Kristina Furnari

    Kristina Furnari

    Wealth AdvisorCRD 4203268

  • Charles Thompson

    Charles Thompson

    Senior Wealth AdvisorCRD 445603

  • Eileen Connolly

    Eileen Connolly

    Managing DirectorCRD 3015310

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 73

Active vs passive

$110M in ETFs

Passive

98%

$108M

Active

2%

$2M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES SEMICONDUCTOR ETF (SOXX)BlackRockPassiveTechnology$13.4M20,88712.13%
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Location

Primary office

New York, NY

New York

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
New York
Address
60 Broad St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth