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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC

CRD 150529

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ccfba461-0047-0a83-22a2-8d881b17d2ab

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 32
Dated events: 4
On other graphs: 0
Observed: Mar 29, 2012 to Mar 24, 2026
31 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.75 fund_share=0.0 institutional_share=0.19 related_bd=true related_bank=false bd_reps=13.0
Regulatory AUM: $1.2BItem 5.F on the latest filing (2026-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.1B
Private client RAUM: $877MderivedItem 5.D individuals plus high net worth individuals
Private client share: 75%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 12
RAUM per advisor: $97.8Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 20
Advisory employees: 13
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 578
Individual clients: 271
High net worth clients: 273
SEC number: 801-70712
CIK: 1506071
CRD: 150529
Filings on the tape: 31
First filed: Mar 29, 2012
Latest filed: Mar 24, 2026
Organised: Limited Liability Company, NY
Website: wellingtonshields.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
EILEEN FRANCES CONNOLLY	n/a	NEW YORK, NY	6	28	n/a	yes
JULIAN LECRAW	n/a	NEW YORK, NY	6	11	n/a	yes
DAVID VINCENT SHIELDS	n/a	NEW YORK, NY	5	44	n/a	yes
PAUL IMMO GULDEN	n/a	NEW YORK, NY	5	48	n/a	yes
THOMAS WATERS GRANT	n/a	NEW YORK, NY	5	35	n/a	yes
JOHN PETER KELLY	n/a	NEW YORK, NY \| Locust Valley, NY	5	39	n/a	yes
GEZA JOHN MARX	n/a	NEW YORK, NY	5	31	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CURCURU, PHILIP, MICHAEL	VP AND CONTROLLER	Na	yes	01/2014	Mar 24, 2026	Mar 24, 2026
GULDEN, PAUL, IMMO	ELECTED MANAGER	Na	yes	10/2009	Mar 24, 2026	Mar 24, 2026
MCFADDEN, WILLIAM, JAMESON	CEO, SECRETARY	Na	yes	01/2023	Mar 24, 2026	Mar 24, 2026
PORTAS, STEPHEN, JOHN	CHIEF COMPLIANCE OFFICER	Na	yes	03/2013	Mar 24, 2026	Mar 24, 2026
SHIELDS, DAVID, VINCENT	Chairman	Na	yes	01/2023	Mar 24, 2026	Mar 24, 2026
GRANT, THOMAS, WATERS	ELECTED MANAGER	F	yes	10/2009	Mar 29, 2012	Oct 14, 2024
GULDEN, PAUL, IMMO	ELECTED MANAGER	F	yes	10/2009	Mar 29, 2012	Oct 14, 2024
H. G. WELLINGTON & CO. INC. CAPITAL MANAGEMENT DIVISION	MEMBER/OWNER	C	yes	10/2009	Mar 29, 2012	Oct 14, 2024
MCFADDEN, WILLIAM, JAMESON	ELECTED MANAGER	C	yes	10/2009	Mar 29, 2012	Oct 14, 2024
SHADEK, LAURENCE, ARTHUR	ELECTED MANAGER	C	yes	10/2009	Mar 29, 2012	Oct 14, 2024
SHIELDS & CO.	MEMBER/OWNER	D	yes	11/2008	Mar 29, 2012	Oct 14, 2024
SHIELDS, DAVID, LARUS	Owner	C	yes	09/2022	Mar 17, 2023	Oct 14, 2024
SHIELDS, DAVID, VINCENT	Owner	C	yes	07/1982	Mar 29, 2012	Oct 14, 2024
WELLINGTON SHIELDS HOLDINGS, LLC	MEMBER/OWNER	E	yes	10/2009	Mar 29, 2012	Oct 14, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
WELLINGTON SHIELDS & CO., LLC	n/a	Independent wealth	$546M	N	yes	n/a
CAPITAL MANAGEMENT ASSOCIATES INC	n/a	Asset manager	$68.7M	N	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 24, 2026	$1.2B	$1.1B	20	13	1	n/a	n/a
2024	Mar 24, 2025	$1000M	$891M	21	13	1	n/a	n/a
2023	Mar 12, 2024	$909M	$807M	20	13	1	n/a	n/a
2022	Mar 21, 2023	$1.0B	$910M	20	13	1	n/a	n/a
2021	Mar 17, 2022	$1.2B	$1.1B	21	13	1	n/a	n/a
2020	Mar 19, 2021	$1.1B	$993M	21	13	1	n/a	n/a
2019	Mar 25, 2020	$981M	$974M	21	13	3	n/a	n/a
2018	Mar 21, 2019	$900M	$893M	22	14	3	n/a	n/a
2017	Mar 27, 2018	$1.0B	$1.0B	25	16	3	n/a	n/a
2016	Mar 28, 2017	$976M	$964M	27	20	n/a	n/a	n/a
2015	Mar 29, 2016	$933M	$923M	27	20	n/a	n/a	n/a
2014	Mar 31, 2015	$969M	$959M	25	20	n/a	n/a	n/a
2013	Mar 25, 2014	$901M	$889M	22	14	n/a	n/a	n/a
2012	Mar 22, 2013	$727M	$718M	35	14	n/a	n/a	n/a
2011	Mar 29, 2012	$846M	$836M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	8.3%	0	0	0	1	2

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.2B	$1000M	17.4%	$1.0B	4.3%	20	21	1	1

Relationships

Affiliated with (4)

← CAPITAL MANAGEMENT ASSOCIATES INCRegistered adviserother investment adviser, common control
factForm ADV
→ CAPITAL MANAGEMENT ASSOCIATES INCRegistered adviserother investment adviser
factForm ADV
→ WELLINGTON SHIELDS & CO., LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← WELLINGTON SHIELDS & CO., LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (14)

← CHARLES RICHARD THOMPSONAdvisorregistration: current employment
Jan 22, 2025 to presentfactForm ADV
← JOSEPH BARBERAAdvisorregistration: current employment
Jun 6, 2023 to presentfactForm ADV
← GEZA JOHN MARXAdvisorregistration: current employment
Sep 9, 2021 to presentfactForm ADV
← JOHN PETER KELLYAdvisorregistration: current employment
Aug 30, 2021 to presentfactForm ADV
← THOMAS WATERS GRANTAdvisorregistration: current employment
Aug 24, 2021 to presentfactForm ADV
← DAVID VINCENT SHIELDSAdvisorregistration: current employment
Aug 23, 2021 to presentfactForm ADV
← PAUL IMMO GULDENAdvisorregistration: current employment
Aug 23, 2021 to presentfactForm ADV
← WILLIAM JAMESON MCFADDENAdvisorregistration: current employment
Aug 18, 2021 to presentfactForm ADV
← JULIAN LECRAWAdvisorregistration: current employment
Aug 26, 2020 to presentfactForm ADV
← EILEEN FRANCES CONNOLLYAdvisorregistration: current employment
Mar 2, 2020 to presentfactForm ADV
← MARK PORTER SPERRYAdvisorregistration: current employment
Jan 5, 2016 to presentfactForm ADV
← KRISTINA METZ FURNARIAdvisorregistration: current employment
Mar 2, 2012 to presentfactForm ADV
← Benjamin BrietsteinAdvisorregistration: previous registration
Jan 13, 2026 to May 15, 2026factForm ADV
← JUAN PABLO RIVERO YBARNEGARAYAdvisorregistration: previous registration
Jun 20, 2021 to Apr 1, 2024factForm ADV

Controls (10)

← SHIELDS, DAVID, VINCENTOwnerOWNER, ownership code C, individual
Mar 29, 2012 to Oct 14, 2024factForm ADV
← GRANT, THOMAS, WATERSOwnerELECTED MANAGER, ownership code F, individual
Mar 29, 2012 to Oct 14, 2024factForm ADV
← GULDEN, PAUL, IMMOOwnerELECTED MANAGER, ownership code F, individual
Mar 29, 2012 to Oct 14, 2024factForm ADV
← SHIELDS, DAVID, LARUSOwnerOWNER, ownership code C, individual
Mar 17, 2023 to Oct 14, 2024factForm ADV
← CURCURU, PHILIP, MICHAELOwnerVP AND CONTROLLER, ownership code NA, individual
Oct 22, 2014 to Oct 14, 2024factForm ADV
← SHADEK, LAURENCE, ARTHUROwnerELECTED MANAGER, ownership code C, individual
Mar 29, 2012 to Oct 14, 2024factForm ADV
← MCFADDEN, WILLIAM, JAMESONOwnerELECTED MANAGER, ownership code C, individual
Mar 29, 2012 to Oct 14, 2024factForm ADV
← H. G. WELLINGTON & CO. INC. CAPITAL MANAGEMENT DIVISIONOwnerMEMBER/OWNER, ownership code C, domestic entity
Mar 29, 2012 to Oct 14, 2024factForm ADV
← SHIELDS & CO.OwnerMEMBER/OWNER, ownership code D, domestic entity
Mar 29, 2012 to Oct 14, 2024factForm ADV
← WELLINGTON SHIELDS HOLDINGS, LLCOwnerMEMBER/OWNER, ownership code E, domestic entity
Mar 29, 2012 to Oct 14, 2024factForm ADV

Owns (1)

← PORTAS, STEPHEN, JOHNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 2, 2013 to Oct 14, 2024factForm ADV

Dated events

Occurred
May 15, 2026
Advisor changed firm
Benjamin Brietstein left Wellington Shields Capital Management, Llc for J.P. Morgan Securities Llc (registered 2026-06-16)
Form ADVobserved 6 days ago
Occurred
Apr 1, 2024
Advisor changed firm
Juan Pablo Rivero Ybarnegaray left Wellington Shields Capital Management, Llc for J.P. Morgan Securities Llc (registered 2026-09-10)
Form ADVobserved 6 days ago
Occurred
Mar 17, 2023
Control person left
Maury Shields (Executrix) no longer on Schedule A of Wellington Shields Capital Management, Llc (listed 2022-10-14, absent 2023-03-17)
Form ADVobserved 6 days ago
Occurred
Mar 17, 2023
Control person joined
Larus David Shields (Owner) appeared on Schedule A of Wellington Shields Capital Management, Llc
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ccfba461-0047-0a83-22a2-8d881b17d2ab
First observed: Mar 29, 2012
Last observed: Mar 24, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC

CRD 150529

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ccfba461-0047-0a83-22a2-8d881b17d2ab

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:56 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

EILEEN FRANCES CONNOLLY

n/a

NEW YORK, NY

n/a

yes

JULIAN LECRAW

n/a

NEW YORK, NY

n/a

yes

DAVID VINCENT SHIELDS

n/a

NEW YORK, NY

n/a

yes

PAUL IMMO GULDEN

n/a

NEW YORK, NY

n/a

yes

THOMAS WATERS GRANT

n/a

NEW YORK, NY

n/a

yes

JOHN PETER KELLY

n/a

NEW YORK, NY | Locust Valley, NY

n/a

yes

GEZA JOHN MARX

n/a

NEW YORK, NY

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CURCURU, PHILIP, MICHAEL

VP AND CONTROLLER

yes

01/2014

Mar 24, 2026

GULDEN, PAUL, IMMO

ELECTED MANAGER

yes

10/2009

Mar 24, 2026

MCFADDEN, WILLIAM, JAMESON

CEO, SECRETARY

yes

01/2023

Mar 24, 2026

PORTAS, STEPHEN, JOHN

CHIEF COMPLIANCE OFFICER

yes

03/2013

Mar 24, 2026

SHIELDS, DAVID, VINCENT

Chairman

yes

01/2023

Mar 24, 2026

GRANT, THOMAS, WATERS

ELECTED MANAGER

yes

10/2009

Mar 29, 2012

Oct 14, 2024

GULDEN, PAUL, IMMO

ELECTED MANAGER

yes

10/2009

Mar 29, 2012

Oct 14, 2024

H. G. WELLINGTON & CO. INC. CAPITAL MANAGEMENT DIVISION

MEMBER/OWNER

yes

10/2009

Mar 29, 2012

Oct 14, 2024

MCFADDEN, WILLIAM, JAMESON

ELECTED MANAGER

yes

10/2009

Mar 29, 2012

Oct 14, 2024

SHADEK, LAURENCE, ARTHUR

ELECTED MANAGER

yes

10/2009

Mar 29, 2012

Oct 14, 2024

SHIELDS & CO.

MEMBER/OWNER

yes

11/2008

Mar 29, 2012

Oct 14, 2024

SHIELDS, DAVID, LARUS

Owner

yes

09/2022

Mar 17, 2023

Oct 14, 2024

SHIELDS, DAVID, VINCENT

Owner

yes

07/1982

Mar 29, 2012

Oct 14, 2024

WELLINGTON SHIELDS HOLDINGS, LLC

MEMBER/OWNER

yes

10/2009

Mar 29, 2012

Oct 14, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

WELLINGTON SHIELDS & CO., LLC

n/a

Independent wealth

$546M

yes

n/a

CAPITAL MANAGEMENT ASSOCIATES INC

n/a

Asset manager

$68.7M

n/a

City

State

Country

Employees

Also broker-dealer

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 24, 2026

$1.2B

$1.1B

n/a

2024

Mar 24, 2025

$1000M

$891M

n/a

2023

Mar 12, 2024

$909M

$807M

n/a

2022

Mar 21, 2023

$1.0B

$910M

n/a

2021

Mar 17, 2022

$1.2B

$1.1B

n/a

2020

Mar 19, 2021

$1.1B

$993M

n/a

2019

Mar 25, 2020

$981M

$974M

n/a

2018

Mar 21, 2019

$900M

$893M

n/a

2017

Mar 27, 2018

$1.0B

n/a

2016

Mar 28, 2017

$976M

$964M

n/a

2015

Mar 29, 2016

$933M

$923M

n/a

2014

Mar 31, 2015

$969M

$959M

n/a

2013

Mar 25, 2014

$901M

$889M

n/a

2012

Mar 22, 2013

$727M

$718M

n/a

2011

Mar 29, 2012

$846M

$836M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

8.3%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.2B

$1000M

17.4%

$1.0B

4.3%