# WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC

WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 150529
- Type: SEC-registered investment adviser
- SEC file number: 801-70712
- Location: 60 BROAD ST., 39TH FLOOR, NEW YORK, NY, 10004
- Phone: 212-320-3000
- Latest filing: 2026-03-24
- Regulatory AUM: $1.2B
- Discretionary AUM: $1.1B
- Non-discretionary AUM: $122.1M
- Clients: 20
- Accounts: 578

## Business model

- Compensation: % of AUM, Fixed
- Clients served: High net worth, Pooled vehicles

## Officers, owners & control persons (19)

| Name | Role | Location |
| --- | --- | --- |
| Paul Immo Gulden | ELECTED MANAGER | — |
| William Jameson Mcfadden | CEO, SECRETARY; ELECTED MANAGER; SHAREHOLDER | — |
| Stephen John Portas | CHIEF COMPLIANCE OFFICER | — |
| Philip Michael Curcuru | VP AND CONTROLLER | — |
| David Vincent Shields | CHAIRMAN; ELECTED MANAGER; OWNER (+1 more) | — |
| Thomas Waters Grant | ELECTED MANAGER | — |
| David Larus Shields | OWNER | — |
| GRANT THOMAS WATERS | ELECTED MANAGER; MANAGER | — |
| SHADEK LAURENCE ARTHUR | ELECTED MANAGER; MANAGER | — |
| WELLINGTON CHARLES H | ELECTED MANAGER; MANAGER | — |
| SHIELDS DAVID VINCENT | CEO; CHAIRMAN; CO-CEO (+4 more) | — |
| SCARPA RALPH JOSEPH | ELECTED MANAGER; MANAGER | — |
| MEYER CHRISTOPHER FRANCIS | CHIEF COMPLIANCE OFFICER | — |
| GULDEN PAUL IMMO | ELECTED MANAGER; MANAGER | — |
| MCFADDEN WILLIAM JAMESON | CEO, SECRETARY; ELECTED MANAGER; MANAGER (+1 more) | — |
| CURCURU PHILIP MICHAEL | VP AND CONTROLLER | — |
| PORTAS STEPHEN JOHN | CHIEF COMPLIANCE OFFICER | — |
| SHIELDS DAVID LARUS | OWNER | — |
| Shields Maury | EXECUTRIX | — |


## Disclosures (3)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| — | regulatory | — | — | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/150529/brochure
- Similar advisers: https://search.stillhousedata.com/firm/150529/similar
- Related entities: https://search.stillhousedata.com/firm/150529/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/150529

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.