Broker-dealer firm · Garden City, NY
Wilmington Capital Securities, LLC
SEC-registered investment adviser · CRD 133839 · SEC 801-101483
At a glance
Wilmington Capital Securities, LLC is an SEC-registered investment adviser based in Garden City, New York, with $277 million in regulatory assets under management as of its Form ADV filed March 30, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 171 individual clients. By Form ADV it is a broker-dealer firm, ranked 261st of 391 broker-dealer firms and 10,591st of 17,210 SEC-registered advisers by assets.
Main office 516-750-6200wilmingtoncap.comAs filed on Form ADV
- Regulatory AUM
- $277M
- Rank among broker-dealer firms
- #261 of 391
- Rank among all SEC RIAs
- #10,591 of 17,210
- Rank in New York
- #1,778 of 2,591
- Individual clients
- 171
- High-net-worth clients
- 31
- Accounts
- 258
- Discretionary
- 56% of AUM
- Employees
- 6
- Advisory staff
- 5
- Offices
- 4
Owners and executives on its Form ADV
- Ronald Brett DorushkinCEO of Broker Dealer, General Principal, Elected Manager
- John MikesPresident of Broker Dealer, General Securities Principal, Elected Manager,osj Supervisor
- Joseph Donald ColumboChairman of Broker Dealer, General Principal, Government Securities Principal, Msrb Principal, Elected Manager
- Dennis Peter LeeChief Compliance Officer and AML Compliance Officer of Broker Dealer and Investment Advisor, Registered Options Principal
- Greg Todd VittorFinop, Principal Financial Officer & Principal Operations Officer
Custody and brokerage
Custodian
Wilmington Capital Securities, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Wilmington Capital Securities, LLC is a hybrid RIA: 6 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Wilmington Capital Securities, LLC.
- Wilmington Capital Securities, LLC ↗CRD 133839
Its Form ADV brochure (filed March 2026) names Wilmington Capital Securities as the broker-dealer its advisers are registered with.
Advisory personnel are also licensed as registered representatives of WCS.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 31 | $216M | 78% |
| Individuals | 140 | $54M | 20% |
| Corporations or other businesses | 6 | $7M | 2% |
Disciplinary disclosures
Wilmington Capital Securities, LLC answers yes to 7 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗wilmingtoncap.com ↗
AtlasMembers
The full record on Wilmington Capital Securities, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 160 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Wilmington Capital Securities, LLC manage?
Wilmington Capital Securities, LLC reports $277 million in regulatory assets under management across 258 accounts, 56% of it on a discretionary basis, on its Form ADV filed March 30, 2026.
What kind of firm is Wilmington Capital Securities, LLC?
Wilmington Capital Securities, LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Wilmington Capital Securities, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($216 million, 31 clients); individuals ($54 million, 140 clients); corporations or other businesses ($7 million, 6 clients).
Does Wilmington Capital Securities, LLC have any disciplinary history?
Wilmington Capital Securities, LLC answers yes to 7 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Wilmington Capital Securities, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →