SourcingSourcing

WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC

C33
CRD 150529·SEC 801-70712·NEW YORK, NY
AUM
$1.17B
$1B+
Est. Revenue
$11.7M
@ 1% on AUM
Est. EBITDA
$3.5M
@ 30% margin
Est. Deal Value
$28.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
CRD
150529
SEC file #
801-70712
EIN
263489334
DBA names
—

Economics

AUM
$1.17B
AUM band
$1B+
AUM trajectory
'20'26
$899.7M → $1.17B▲ +30%
Client mix
Individuals High Net Worth273
Individuals Other271
Corporations16
Charitable Organizations14

Operations

Employees (total)
20
Advisory staff (per ADV)
13
Advisory staff (5-yr trend)
'20'26
14 advisors → 13 advisors▼ -7%
Primary office
NEW YORK NY
Branches
—

Custodian & Brokerage

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

Filings

Latest ADV filing
03/24/2026
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, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
6
Control Persons
WELLINGTON SHIELDS HOLDINGS, LLC
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
0001506071
Edgar Registered
Yes
Edgar Filing Count
65
Edgar First Filing Date
2010-12-03
Edgar Last Filing Date
2026-05-04
Edgar 13f Count
65
Edgar 13f Latest AUM Estimate
Filing Date2026-05-04
Accession0001506071-26-000002

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
11
Bc Firm Active IA Count
12
Bc Firm IAR Count
12
Custodian Candidates
Full
Pershing4
E*trade4
State Street1
Edgar Addresses
Mailing
60 BROAD STREET39TH FLOORNEW YORK, NY 10004
Business
60 BROAD STREET39TH FLOORNEW YORK, NY 10004
Edgar EIN
263489334
Edgar Recent Filings
13F-HR2026-05-04 · 0001506071-26-000002
13F-HR2026-02-09 · 0001506071-26-000001
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 (14)

14
GULDEN, PAUL IMMO JR
IAR · Executive Officer · 2.5%
231863
MCFADDEN, WILLIAM, JAMESON
IAR · Executive Officer · 2.5%
5337971
SHIELDS, DAVID, VINCENT
IAR · Executive Officer · 2.5%
1072810
CURCURU, PHILIP, MICHAEL
Executive Officer · 2.5%
4170350
PORTAS, STEPHEN, JOHN
Executive Officer · 2.5%
2482930
GEZA JOHN MARX
IAR
2836839
GRANT, THOMAS WATERS
IAR
227594
EILEEN FRANCES CONNOLLY
IAR
3015310
JOHN PETER KELLY
IAR
1550106
SPERRY, MARK PORTER
IAR
1330909
CHARLES RICHARD THOMPSON
IAR
445603
JULIAN LECRAW
IAR
6412334
KRISTINA METZ FURNARI
IAR
4203268
JOSEPH BARBERA
IAR
7622118