Shields Capital Corporation (New York)

Name: Shields Capital Corporation
Address: 140 Broadway,44 Th Floor, New York, NY, 10005
Telephone: 212-320-3000

Shields Capital Corporation is a large advisory firm based in New York. It manages $25.97 million of regulatory assets for 16 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of Georgia.

Shields Capital Corporation provides portfolio management for individuals and small businesses and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Shields Capital Corporation: assets under management

The assets under management (AUM) of Shields Capital Corporation is $25.97 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -62% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $25.97 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.62 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Shields Capital Corporation for their services and products based on a percentage of assets under management and commissions. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Shields Capital Corporation

Joseph Vincent Shields has been acting as President since 1 Jun 1982. Kevin Patrick Vancleve joined the executive team most recently as the Msrb Principal.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Joseph Vincent Shields	President	1 Jun 1982	50% - 75%	700539
David Vincent Shields	Managing director	1 Jun 1982	Other	1072810
Joseph Anthony Zock	Managing director	1 Jun 1982	Other	1078035
Joseph Vincent Jr Shields	Chairman & managing director	1 Jun 1982	50% - 75%	700539
Brian Hudson Keep	Vice president	1 Jun 1993	Other	266148
Ralph Joseph Scarpa	Managing director	1 Nov 1997	Other	718855
Robert Edwin Ransom	Vice president	1 Jan 1999	Other	1440724
John Patrick Hughes	Vice president	1 Jun 1999	Other	2486574
John Patrick Jr Hughes	Chief compliance officer	1 Jun 1999	Other	2486574
Philip Michael Curcuru	Cfo	1 Mar 2002	Other	xxx-xx-xxxx
Philip Michael Curcuru	Chief operations officer	1 Jul 2006	Other	xxx-xx-xxxx
Christopher Francis Meyer	Chief compliance officer	1 Oct 2006	Other	1075415
Kevin Patrick Vancleve	Msrb principal	1 Nov 2006	Other	1022686

Based in New York

The principal office where Shields Capital Corporation performs its advisory services is located at 140 Broadway,44 Th Floor, New York, NY 10005, which is also the mailing address of the firm. An additional office of the firm is in Thomasville, GA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-320-3000 or by fax 212-320-3040. The normal business hours are 9:00a - 5:00p on Monday - Friday. You can find more information about the New York firm at shieldsandco.com.