SourcingSourcing

WELLINGTON SHIELDS & CO., LLC

C28
CRD 149021·SEC 801-70755·NEW YORK, NY
AUM
$546.0M
$500M-$1B
Est. Revenue
$5.5M
@ 1% on AUM
Est. EBITDA
$1.6M
@ 30% margin
Est. Deal Value
$13.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
WELLINGTON SHIELDS & CO., LLC
CRD
149021
SEC file #
801-70755
EIN
263489406
DBA names
—

Economics

AUM
$546.0M
AUM band
$500M-$1B
AUM trajectory
'20'26
$258.4M → $546.0M▲ +111%
Client mix
Individuals Other416
Individuals High Net Worth164
Corporations6

Operations

Employees (total)
25
Advisory staff (per ADV)
15
Advisory staff (5-yr trend)
'20'26
11 advisors → 15 advisors▲ +36%
Primary office
NEW YORK NY
Branches
—

Custodian & Brokerage

Primary custodian
Pershinglow confidence
Services offered
Portfolio mgmt — individuals
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/17/2026
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
WELLINGTON SHIELDS HOLDINGS,
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
11
Control Persons
WELLINGTON SHIELDS HOLDINGS,
CURCURU, PHILIP MICHAEL
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

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
No

SEC EDGAR

Edgar Cik
0001506073
Edgar Registered
Yes
Edgar Filing Count
67
Edgar First Filing Date
2011-08-10
Edgar Last Filing Date
2026-05-04
Edgar 13f Count
67
Edgar 13f Latest AUM Estimate
Filing Date2026-05-04
Accession0001506073-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (16)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
49
Bc Firm Active IA Count
28
Bc Firm IAR Count
50
Custodian Candidates
Full
Pershing4
E*trade4
State Street1
Edgar Addresses
Mailing
60 BROAD STREETNEW YORK, NY 10004
Business
60 BROAD STREETNEW YORK, NY 10004
Edgar EIN
263489406
Edgar Recent Filings
13F-HR2026-05-04 · 0001506073-26-000002
13F-HR2026-02-09 · 0001506073-26-000001
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
Trust Company Affiliate
No

People (50)

50
CEMBROLA, JOSEPH NICHOLAS
IAR · Executive Officer · 2.5%
2310761
GRANT, THOMAS WATERS
IAR · Executive Officer · 2.5%
227594
GULDEN, PAUL IMMO JR
IAR · Executive Officer · 2.5%
231863
MCFADDEN, WILLIAM, JAMESON
IAR · Executive Officer · 2.5%
5337971
CURCURU, PHILIP, MICHAEL
IAR · Executive Officer · 2.5%
4170350
SHADEK, LAURENCE ARTHUR
IAR · Executive Officer · 2.5%
419483
SPERRY, MARK PORTER
IAR · Executive Officer · 2.5%
1330909
SHIELDS, DAVID, VINCENT
IAR · Executive Officer · 2.5%
1072810
MARCH, EDWARD KENNETH
IAR · Executive Officer · 2.5%
2100535
PORTAS, STEPHEN, JOHN
IAR · Executive Officer · 2.5%
2482930
VERONICA LEE Pius
IAR
3136112
ALEXANDER MACLIN CRIPPS
IAR
4595640
JEFFREY S. FOLEY
IAR
6300048
STEVEN M FRIEDFERTIG
IAR
6258549
DONALD E CHAPPELL
IAR
5631603
ANDREA BERNADETTE COSTELLO
IAR
1607041
JUDITH MIGUELINA FRIAS
IAR
2110535
JAMES MCCLENAHAN SHADEK
IAR
702481
DEBORAH BEAUFAIT GASKINS
IAR
1402260
ROBERT KENNETH ONEAL
IAR
1429800
JEROME BALLAN
IAR
11411
PATRICIA DIANE POWELL
IAR
2739875
EILEEN FRANCES CONNOLLY
IAR
3015310
JOSEPH PAUL DIFRANKS
IAR
1723717
JOHN PETER KELLY
IAR
1550106
GAIL MARIE DUDACK
IAR
72557
LUANNE EISENBERG
IAR
2199200
PHILIP FRANCIS WALKLEY
IAR
1215330
GEORGES CARTER BOYER
IAR
1327554
PETER B WALTMAN
IAR
2621693
PAMELA SUZANNE TAYLOR
IAR
2255299
FRANK DOUGLAS GRETZ
IAR
1444650
ALAN MARTIN SILVERMAN
IAR
424026
HOWARD DAVID BROUS
IAR
31868
William Shelton Hayes
IAR
7950833
NOEL KEZSBOM
IAR
268896
GUY MAXWELL ULE
IAR
451403
CHARLES RICHARD THOMPSON
IAR
445603
THEODORE ALLAN NELSON
IAR
2518913
JULIAN LECRAW
IAR
6412334
MARK DONALD PANKOFF
IAR
1863367
Ellen Purinton
IAR
6848664
SCOTT ROBERT PURINTON
IAR
4329431
Timothy Gaulin
IAR
7645144
ANTHONY JOSEPH DAPRATO
IAR
1480221
KRISTINA METZ FURNARI
IAR
4203268
JAMES EDWARD FAHEY
IAR
2191811
JASON TODD WEISSMAN
IAR
2723437
William Robert Purinton
IAR
8187651
JOSEPH BARBERA
IAR
7622118