The WELLINGTON SHIELDS GROUP is a privately held investment adviser that advises $1.79Bn in regulatory assets under management held in 0 SEC fund types across 1 investment strategies. WELLINGTON SHIELDS GROUP is a Retail Wealth A retail wealth manager is a manager whose >=75% of total assets under management are managed for individual investors through retail advisory or brokerage channels. Manager. Assets increased by 14.48% over the last 5-years.
The Group has been registered with the SEC for 43.94 years and is comprised of 3 filing and 0 relying advisers. They operate out of 4 office locations with their Headquarters at 60 BROAD ST. 39TH FLOOR, NEW YORK, NEW YORK. The Group has been subject to regulatory enforcement actions. They are regulated by 1 US and Non-US bodies.
They have 53 employees comprised of 31 investment and 22 non-investment staff. The total number of Employees increased by 3.92% over the last 5-years.
Their $1.79Bn in assets advised are owned by 0 private funds, 1 public fund and BDCs and 36 other accounts. Assets of High Net Worth Individuals clients own $1.23Bn or 68.57% of Total Assets and Charitable Organizations own $222.61mn or 12.41% of Total Assets.
The Group's top investment strategies include Long/Short Equity, representing 100% of total assets, respectively.
They advise 5 types of clients, top clients are High Net Worth Individuals and Charitable Organizations.
The Group uses 1 Fund Administrators, 1 Fund Auditors, 0 Prime Brokers, 1 Custodians and 1 Marketers. It does not report a third-party Fund Administrator in 0 private funds with $0 in assets.
The Group discloses fixed fees and management fees.
WELLINGTON SHIELDS GROUP names 0 sub-advisers to 0 different funds advised by the group. The Group has been named as the sub-adviser to 0 funds.