SourcingSourcing

CAPITAL MANAGEMENT ASSOCIATES INC

B51
CRD 104783·SEC 801-17691·NEW YORK, NY
AUM
$68.7M
$25M-$100M
Est. Revenue
$687K
@ 1% on AUM
Est. EBITDA
$206K
@ 30% margin
Est. Deal Value
$1.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
CAPITAL MANAGEMENT ASSOCIATES INC
CRD
104783
SEC file #
801-17691
EIN
593359745
DBA names
—

Economics

AUM
$68.7M
AUM band
$25M-$100M
AUM trajectory
'20'26
$133.9M → $68.7M▼ -49%
Client mix
Investment Companies1

Operations

Employees (total)
8
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
6 advisors → 3 advisors▼ -50%
Primary office
NEW YORK NY
Branches
—

Custodian & Brokerage

Primary custodian
Pershingmedium confidence
Services offered
Portfolio mgmt — investment companies
Fee basis
% of AUM

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
wellingtonshields.com

Compliance

Disclosures (firm)
1
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
MCFADDEN, WILLIAM, JAMESON
Top Owner Pct
37.5
Top Owner Entity Kind
I
Owner Count
6
Control Persons
MCFADDEN, WILLIAM, JAMESON
SHIELDS, DAVID, LARUS
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
WELLINGTONSHIELDS.COM
Rdap Domain Creation Date
2009-03-20T16:56:53Z
Rdap Firm Age Years
17
Rdap Firm Age Band
10-20y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
10
Form 5500 Total Participants
39
Form 5500 Total Compensation
373,844
Form 5500 Compensation Trajectory 3y
2025373,844
20240
Form 5500 Plan Count Trajectory 3y
20259
20241
Schedule C Total Compensation
373,844
Schedule C Service Provider Rows
10

SEC EDGAR

Edgar Cik
0001019517
Edgar Registered
Yes
Edgar Filing Count
44
Edgar First Filing Date
1999-06-14
Edgar Last Filing Date
2011-11-07
Edgar 13f Count
44
Edgar 13f Latest AUM Estimate
Filing Date2011-11-07
Accession0001085146-11-001107

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
1
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Window
Pershing4
Full
Pershing4
E*trade4
State Street1
Edgar Addresses
Mailing
1245 W. FAIRBANKS AVENUESUITE 301WINTER PARK, FL 32789
Business
1245 W. FAIRBANKS AVENUESUITE 301WINTER PARK, FL 32789
Edgar EIN
593359745
Edgar Recent Filings
13F-HR2011-11-07 · 0001085146-11-001107
13F-HR2011-07-26 · 0001085146-11-000773
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2029-03-20T16:56:53Z
Rdap Domain Last Changed
2024-01-20T07:06:48Z
Rdap Nameservers
Ns63.worldnic.comNs64.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
5337971
Trust Company Affiliate
No

People (6)

6
MCFADDEN, WILLIAM, JAMESON
IAR · Direct Owner · 37.5%
5337971
SHIELDS, DAVID, LARUS
Direct Owner · 37.5%
2645337
SHIELDS, DAVID, VINCENT
Direct Owner · 17.5%
1072810
CURCURU, PHILIP, MICHAEL
Executive Officer · 2.5%
4170350
DIMITRI HARVEY KURILOFF
Executive Officer · 2.5%
1108937
PORTAS, STEPHEN, JOHN
Executive Officer · 2.5%
2482930