Wellington Shields & Co., LLC

CIK 0001506073 · Q1 2026

13F Equity AUM

$392.4M

-3.2% QoQ

Positions

320

-1 QoQ

AUM Rank

#5,020

Top 40%

Skill Alpha (FF)

-2.8%/yr^ns

No Clear Edge

Rank #6,078 · Top 74%

vs S&P -5.4%/yr (unadj.)

Quarters Tracked

~13 years

Portfolio Concentration

Top 5: 23.6%Top 10: 34.3%Top 20: 45.9%

AAPL7.1%

MSFT6.6%

JPM3.6%

XOM3.4%

LLY3.0%

NVDA3.0%

GOOG2.6%

CAT1.7%

ABBV1.7%

AMZN1.6%

Others (310)65.7%

HHI (Herfindahl-Hirschman Index) measures portfolio concentration. Low (<1500) = diversified, Moderate (1500-2500), High (>2500) = concentrated bets.

Sector Allocation

Technology25.1%

Financial Services17.8%

Healthcare13.8%

Industrials11.4%

Energy8.9%

Communication Services6.2%

Consumer Defensive4.3%

Consumer Cyclical3.1%

Other9.3%

Portfolio weight by GICS sector based on latest 13F filing. Sectors below 2% are grouped as “Other.”

Position Sizing

Positions: 320Median: 0.11%Avg: 0.31%

0–0.5%

271(33.9%)

0.5–1%

30(21.2%)

1–3%

13(18.2%)

3–5%

4(13.1%)

5%+

2(13.6%)

Count of positions per weight bucket — (%) = combined portfolio weight

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Portfolio Overlap

Shared: 316Unique: 4vs 20 funds

4.3%Low

320

Fund positions

7,299

Consensus CUSIPs

Jaccard similarity of this fund’s portfolio vs the consensus of top 20 funds by AUM. Low (<15%) = contrarian, Moderate (15-40%), High (>40%) = follows the crowd.

Most Similar Funds

Top 9 benchmark funds with highest portfolio overlap (Jaccard similarity)

MORGAN STANLEY

BANK OF AMERICA CORP /DE/

6.5%

6.2%

7.4%

10%

7.8%

GEODE CAPITAL MANAGEMENT, LLC

7.5%

VANGUARD CAPITAL MANAGEMENT LLC

7.5%

VANGUARD PORTFOLIO MANAGEMENT LLC

8.9%

Jaccard similarity per fund: shared CUSIPs / (fund A + fund B − shared). Higher values indicate more similar portfolios.

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Position Changes This Quarter

New21Increased72Decreased100Exited21

New Positions

PAHUSD0.3%

+33K

SJM0.1%

+6K

KMB0.1%

+5K

PXJ0.1%

+10K

DGRO0.1%

+4K

PJP0.1%

+3K

TBIL0.1%

+5K

PKB0.1%

+3K

MU0.1%

+750

BJ0.1%

+2K

Increased

MDIV0.1%

+21K(+147%)

HNDL0.2%

+17K(+109%)

MP0.1%

+4K(+52%)

PANW0.8%

+4K(+24%)

QBTS0.1%

+3K(+26%)

PFF0.1%

+3K(+30%)

BXMT0.1%

+3K(+31%)

AGG0.1%

+2K(+79%)

EIX0.3%

+2K(+12%)

XOM3.4%

+2K(+2%)

Decreased

NEM0.9%

-4,800(-13%)

PFE0.6%

-4,661(-6%)

FCX0.3%

-3,657(-18%)

AVGO0.8%

-2,696(-22%)

SBIL0.1%

-2,692(-53%)

EQT0.1%

-2,600(-29%)

RJR10.0%

-2,448(-6%)

HACK0.1%

-1,550(-38%)

APO0.6%

-1,456(-7%)

PLTR0.5%

-1,375(-9%)

Exited

-20,000

-29,586

-13,019

-6,687

-6,610

-2,250

-3,418

STX

-850

HPE

-8,485

ADBE

-606

Quarter-over-quarter changes compared to prior 13F filing. New = first appearance; Exited = no longer held.

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Holdings

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