Wellington Shields Capital Management, LLC

Registered adviser

CIK

1506071

Location

NEW YORK, NY

Portfolio Value

Micro $71,358,184

Diversification

Diversified

Filing Date

Global Rank

#2,931 / 8,827 ▲ 81 · as of Jun 2026

Top Industry

Software - Infrastructure 10.0%

Period ended 38 days ago

Filed Nov 3, 2026 · 4d

27 quarters · since Mar 2020

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Nov 1, 2026

Form ADV adviser

CRD 150529

Roster of Nov 1, 2026

Regulatory AUM

$1,173,354,300

Main clients

Individuals and high net worth (75% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Nov 2026	$1,173,354,300	Individuals and high net worth (75%)
Apr 2025 to Mar 2026	$999,720,457	Individuals and high net worth (75%)
Apr 2024 to Mar 2025	$908,668,439	Individuals and high net worth (79%)
May 2023 to Mar 2024	$1,034,227,634	Individuals and high net worth (74%)
Apr 2023	$1,034,227,634	Individuals and high net worth (74%)
Apr 2022 to Mar 2023	$1,197,781,921	Individuals and high net worth (75%)

3 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, the newest measured quarter, never from the firm's own description.

Style

Diversified active

Top 10 weight 38.9%, 42.6 effective positions, active share 57.5% against the S&P 500 as of 2026-06-30; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Low turnover

23.7% over the last four quarters (under 30%)

Horizon

Long horizon

Value-weighted holding period 19.7 quarters (12+), a floor since 56.4% of the book was already held when coverage starts

Closest benchmark: the S&P 500 as of 2026-06-30, active share 57.5%; sector active share 15.3% against the combined 13F book's sector weights.

Over time 26 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

44 tracked positions · as of Sep 30, 2026 · Δ vs Jun 30, 2026

Top Position

6.3%

−1.5 pts

Top 5

28.9%

+2.6 pts

Top 10

48.1%

+9.2 pts

HHI

351

Diversified+117

Portfolio Trend

27 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Technology	30.6%	$21,839,836	11
Industrials	17.8%	$12,732,087	5
Healthcare	10.3%	$7,374,438	4
Financial Services	9.6%	$6,844,866	6
Consumer Cyclical	7.8%	$5,560,290	3
Communication Services	5.8%	$4,128,960	1
Energy	5.4%	$3,861,508	3
Unclassified	4.3%	$3,102,880	7
Basic Materials	4.1%	$2,936,625	2
Consumer Defensive	2.2%	$1,579,584	1
Utilities	2.0%	$1,397,110	1

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

10 positions

Ticker	Company	Δ Shares	Shares	Value
FCX	Freeport-Mcmoran Inc	+16,060	25,000	$1,750,000
XLF	State Street Corp	+11,889	22,000	$0
SLB	Slb Limited	+7,085	17,000	$828,240
SPCX	Space Exploration Technologies Corp	+6,872	7,300	$1,101,278
IBIT	iShares Bitcoin Trust ETF	+5,333	9,000	$426,060
BAC	Bank Of America Corp	+3,971	12,000	$653,160
—		+3,340	7,000	$0
ROST	Ross Stores, Inc.	+2,400	6,000	$1,400,400
AMAT	Applied Materials Inc	+1,495	3,875	$1,981,597
TMO	Thermo Fisher Scientific Inc.	+737	2,100	$1,417,605
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
BE	Bloom Energy Corp	−138,675	16,200	$4,487,076
MSFT	Microsoft Corp	−102,330	5,500	$2,820,950
AMZN	Amazon Com Inc	−99,437	11,000	$2,740,650
XME	State Street(R) SPDR(R) S&P(R) Metals & Mining ETF	−94,712	7,000	$724,920
AAPL	Apple Inc.	−94,023	5,900	$1,964,818
BX	Blackstone Inc.	−90,204	6,000	$672,540
XOM	ExxonMobil Holdings Corp	−89,970	12,852	$2,091,663
GOOGL	Alphabet Inc.	−74,825	12,000	$4,128,960
JPM	Jpmorgan Chase & Co	−64,448	8,500	$2,812,055
APO	Apollo Global Management, Inc.	−42,133	6,000	$696,360
PANW	Palo Alto Networks Inc	−37,036	10,000	$3,973,100
XBI	State Street(R) SPDR(R) S&P(R) Biotech ETF	−25,985	6,000	$946,080
AVGO	Broadcom Inc.	−22,542	1,000	$351,190
NVDA	Nvidia Corp	−21,641	19,400	$4,430,572
WMT	Walmart Inc.	−14,988	15,200	$1,579,584
PWR	Quanta Services, Inc.	−14,681	5,600	$3,598,056
RSP	Victory Portfolios II	−11,845	7,500	$0
LIN	Linde PLC	−8,259	2,500	$1,186,625
IBM	International Business Machines Corp	−7,566	7,000	$1,539,510
LLY	ELI LILLY & Co	−7,193	2,600	$3,008,408
CEG	Constellation Energy Corp	−7,021	5,500	$1,397,110
CVS	CVS HEALTH Corp	−6,461	9,000	$771,210
LNG	Cheniere Energy, Inc.	−5,597	3,500	$941,605
MCK	Mckesson Corp	−4,209	2,550	$2,177,215
GEV	GE Vernova Inc.	−3,134	2,300	$2,186,127
No positions match the current search.

New Positions

Positions the filer opened this quarter

2 positions

Ticker	Company	Shares	Value
SIL	Global X Silver Miners ETF	7,000	$602,070
BSOL	Bitwise Solana Staking ETF	25,000	$403,750
No positions match the current search.

Sold Out

Positions the filer fully exited

25 positions

Ticker	Company	Shares	Value
GOOG	Alphabet Inc.	85,673	$30,270,841
AMD	Advanced Micro Devices Inc	51,335	$29,821,014
AXP	American Express Co	47,791	$16,165,305
QXO	QXO, Inc.	910,228	$15,728,739
MA	Mastercard Inc	28,837	$14,810,683
SOXX	iShares Semiconductor ETF	20,887	$13,383,554
MKSI	Mks Inc	29,770	$13,241,696
VOO	VANGUARD 500 INDEX FUND	18,075	$12,414,090
TSM	Taiwan Semiconductor Manufacturing Co Ltd	25,303	$12,083,953
BA	Boeing Co	55,467	$12,006,941
COF	Capital One Financial Corp	50,000	$10,031,000
SMH	VanEck Semiconductor ETF	11,411	$7,484,360
RTX	RTX Corp	39,062	$7,411,233
RDDT	Reddit, Inc.	33,485	$5,812,326
GLW	Corning Inc	20,398	$5,210,261
FLO	Flowers Foods Inc	589,705	$4,658,668
PSNL	Personalis, Inc.	339,733	$4,552,422
EW	Edwards Lifesciences Corp	44,831	$4,055,412
ITW	Illinois Tool Works Inc	13,900	$3,759,533
UBER	Uber Technologies, Inc	50,990	$3,679,438
PPC	Pilgrims Pride Corp	117,602	$3,305,792
SLV	iShares Silver Trust	61,322	$3,278,887
PDD	PDD Holdings Inc.	42,842	$3,267,987
ETN	Eaton Corp plc	7,549	$3,216,779
JNJ	Johnson & Johnson	12,573	$3,193,164
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

44 tracked positions · $71,358,184 total · filing declares 328 positions · $741,268,675 · as of Sep 30, 2026

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Technology Utilities

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
BE	Bloom Energy Corp Industrials	Reduced	16,200	-138,675	$4,487,076	−90.4%	6.29%
NVDA	Nvidia Corp Technology	Reduced	19,400	-21,641	$4,430,572	−46.0%	6.21%
GOOGL	Alphabet Inc. Communication Services	Reduced	12,000	-74,825	$4,128,960	−86.7%	5.79%
PANW	Palo Alto Networks Inc Technology	Reduced	10,000	-37,036	$3,973,100	−75.2%	5.57%
PWR	Quanta Services, Inc. Industrials	Reduced	5,600	-14,681	$3,598,056	−75.4%	5.04%
LLY	ELI LILLY & Co Healthcare	Reduced	2,600	-7,193	$3,008,408	−74.4%	4.22%
MSFT	Microsoft Corp Technology	Reduced	5,500	-102,330	$2,820,950	−93.0%	3.95%
JPM	Jpmorgan Chase & Co Financial Services	Reduced	8,500	-64,448	$2,812,055	−88.2%	3.94%
AMZN	Amazon Com Inc Consumer Cyclical	Reduced	11,000	-99,437	$2,740,650	−89.6%	3.84%
ASML	Asml Holding NV Technology	Reduced	1,275	-736	$2,309,879	−42.3%	3.24%
GEV	GE Vernova Inc. Industrials	Reduced	2,300	-3,134	$2,186,127	−65.8%	3.06%
MCK	Mckesson Corp Healthcare	Reduced	2,550	-4,209	$2,177,215	−57.4%	3.05%
XOM	ExxonMobil Holdings Corp Energy	Reduced	12,852	-89,970	$2,091,663	−85.1%	2.93%
BLK	BlackRock, Inc. Financial Services	Reduced	1,900	-2,115	$2,010,751	−47.9%	2.82%
AMAT	Applied Materials Inc Technology	Added	3,875	+1,495	$1,981,597	+15.2%	2.78%
AAPL	Apple Inc. Technology	Reduced	5,900	-94,023	$1,964,818	−93.2%	2.75%
FCX	Freeport-Mcmoran Inc Basic Materials	Added	25,000	+16,060	$1,750,000	+211.3%	2.45%
WMT	Walmart Inc. Consumer Defensive	Reduced	15,200	-14,988	$1,579,584	−53.8%	2.21%
IBM	International Business Machines Corp Technology	Reduced	7,000	-7,566	$1,539,510	−62.4%	2.16%
TSLA	Tesla, Inc. Consumer Cyclical	Reduced	4,000	-753	$1,419,240	−29.0%	1.99%
TMO	Thermo Fisher Scientific Inc. Healthcare	Added	2,100	+737	$1,417,605	+107.4%	1.99%
ROST	Ross Stores, Inc. Consumer Cyclical	Added	6,000	+2,400	$1,400,400	+82.8%	1.96%
CEG	Constellation Energy Corp Utilities	Reduced	5,500	-7,021	$1,397,110	−55.1%	1.96%
CW	Curtiss Wright Corp Industrials	Reduced	2,500	-1,723	$1,359,550	−57.5%	1.91%
CLS	Celestica Inc Technology	Reduced	3,600	-3,060	$1,301,148	−46.4%	1.82%
LIN	Linde PLC Basic Materials	Reduced	2,500	-8,259	$1,186,625	−78.7%	1.66%
SPCX	Space Exploration Technologies Corp Industrials	Added	7,300	+6,872	$1,101,278	+1406.0%	1.54%
XBI	State Street(R) SPDR(R) S&P(R) Biotech ETF	Reduced	6,000	-25,985	$946,080	−81.3%	1.33%
LNG	Cheniere Energy, Inc. Energy	Reduced	3,500	-5,597	$941,605	−56.7%	1.32%
SLB	Slb Limited Energy	Added	17,000	+7,085	$828,240	+79.7%	1.16%
CVS	CVS HEALTH Corp Healthcare	Reduced	9,000	-6,461	$771,210	−51.8%	1.08%
XME	State Street(R) SPDR(R) S&P(R) Metals & Mining ETF	Reduced	7,000	-94,712	$724,920	−93.3%	1.02%
APO	Apollo Global Management, Inc. Financial Services	Reduced	6,000	-42,133	$696,360	−87.8%	0.98%
BX	Blackstone Inc. Financial Services	Reduced	6,000	-90,204	$672,540	−94.1%	0.94%
BAC	Bank Of America Corp Financial Services	Added	12,000	+3,971	$653,160	+42.8%	0.92%
SIL	Global X Silver Miners ETF	NEW	7,000	NEW	$602,070	NEW	0.84%
MU	Micron Technology Inc Technology	Reduced	550	-374	$585,810	−45.1%	0.82%
MRVL	Marvell Technology, Inc. Technology	Reduced	2,200	-690	$581,262	−32.5%	0.81%
IBIT	iShares Bitcoin Trust ETF	Added	9,000	+5,333	$426,060	+249.0%	0.60%
BSOL	Bitwise Solana Staking ETF	NEW	25,000	NEW	$403,750	NEW	0.57%
AVGO	Broadcom Inc. Technology	Reduced	1,000	-22,542	$351,190	−96.1%	0.49%
RSP	Victory Portfolios II	Reduced	7,500	-11,845	$0	−100.0%	0.00%
		Added	7,000	+3,340	$0	−100.0%	0.00%
XLF	State Street Corp Financial Services	Added	22,000	+11,889	$0	−100.0%	0.00%

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.