AdvisorRanked
92
Clean

CAPITAL MANAGEMENT ASSOCIATES INC

60 BROAD STREET, NEW YORK, NY 10004
Fiduciaryfee-onlySEC Registered
212-320-2000 http://www.wellingtonshields.com CRD #104783
Visit Website
$69M
Assets Managed
3
Clients
8
Employees
44
Years Active
since 1982

Compensation Model

% of Assets (AUM)
Hourly Fees
Fixed / Flat Fees
Commissions
Performance Fees

Compensation type disclosed on SEC Form ADV Item 5C. Filed 46112. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.

Conflict of Interest Analysis

Broker-Dealer Affiliated: No

No broker-dealer affiliation. Lower risk of commission-driven advice.

Insurance Licensed: No

Not insurance licensed. Cannot sell you annuity or insurance products directly.

Custody of Client Assets: No

Assets held at an independent custodian (e.g., Schwab, Fidelity, TD Ameritrade). This is the standard, lower-risk arrangement.

Proprietary Products: No

Uses only third-party investment products. No proprietary product conflicts.

Regulatory & Disciplinary History

complaint46112

1 customer complaint(s)/arbitration(s) disclosed on Form ADV Item 11.

Resolved

Total complaints on record: 1

Complaint ratio: 33.33 per 100 clients

Industry average is approximately 0.15 complaints per 100 clients. A ratio above 0.30 is considered elevated.

Firm Details

Legal NameCAPITAL MANAGEMENT ASSOCIATES INC
CRD Number#104783
SEC RegisteredYes
Registration Date1982-09-02
States RegisteredNY
Assets Under Management$69M
Number of Clients3
Employees8
Compensation Typefee-only
Last ADV Filing46112

Other Advisors in NEW YORK

100

AMOVA ASSET MANAGEMENT AMERICAS, INC.

NEW YORK, NY · Since 2002

$9.0B AUM9 clientsFee: 0%
FiduciaryFee-Only
100

ATALANTA SOSNOFF MANAGEMENT, LLC

NEW YORK, NY · Since 1984

$3.9B AUM8 clientsFee: 0%
FiduciaryFee-Only
100

DELTEC ASSET MANAGEMENT LLC

NEW YORK, NY · Since 2000

$783M AUM7 clientsFee: 0%
FiduciaryFee-Only
View all advisors in NEW YORK →

Frequently Asked Questions

Is CAPITAL MANAGEMENT ASSOCIATES INC a fiduciary?

Yes. CAPITAL MANAGEMENT ASSOCIATES INC is a registered investment adviser (RIA) with the SEC, which means they are legally required to act as a fiduciary — putting your interests ahead of their own.

How does CAPITAL MANAGEMENT ASSOCIATES INC charge clients?

CAPITAL MANAGEMENT ASSOCIATES INC uses a fee-only compensation model. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.

Does CAPITAL MANAGEMENT ASSOCIATES INC have any complaints?

Yes. CAPITAL MANAGEMENT ASSOCIATES INC has 1 complaint(s) on record. Their complaint ratio is 33.33 per 100 clients (industry average: ~0.15).

How does CAPITAL MANAGEMENT ASSOCIATES INC compare to other advisors in NEW YORK?

CAPITAL MANAGEMENT ASSOCIATES INC has a Red Flag Score of 92/100. There are 1970 registered advisory firms in NEW YORK. Use our city page to compare firms side by side.

Where does this data come from?

All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.

Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 46112. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.