{"url":"https://nivawealth.com/firms/wilmington-capital-securities-133839","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/133839","regulatoryAum":277120242,"crd":"133839","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2238818","suffix":null,"lastName":"ASTORR","firstName":"DAVID","middleName":"EDWARD"},{"crd":"862738","suffix":null,"lastName":"BARNES","firstName":"JOHN","middleName":"CHARLES"},{"crd":"2245185","suffix":null,"lastName":"DORUSHKIN","firstName":"RONALD","middleName":"BRETT"},{"crd":"4105665","suffix":null,"lastName":"GRIFFIN","firstName":"JOHN","middleName":"SKY"},{"crd":"6008539","suffix":null,"lastName":"LEE","firstName":"DENNIS","middleName":"PETER"},{"crd":"714045","suffix":"IV","lastName":"MEANS","firstName":"JAMES","middleName":"ANDREW"}],"total":6,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-17","regulatoryAum":226296748,"clients":155,"employees":7,"offices":4},{"filedOn":"2022-03-15","regulatoryAum":236786712,"clients":163,"employees":6,"offices":4},{"filedOn":"2023-06-01","regulatoryAum":222703879,"clients":215,"employees":6,"offices":4},{"filedOn":"2024-06-06","regulatoryAum":243013873,"clients":223,"employees":6,"offices":4},{"filedOn":"2025-03-31","regulatoryAum":258250437,"clients":192,"employees":6,"offices":4},{"filedOn":"2026-03-30","regulatoryAum":277120242,"clients":177,"employees":6,"offices":4}],"secFileNumber":"801-101483","legalName":"Wilmington Capital Securities, LLC","displayName":"Wilmington Capital Securities","slug":"wilmington-capital-securities-133839","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"New York limited liability company","fiscalYearEnd":"December","headquarters":{"street":"666 Old Country Road, Suite 505","city":"Garden City","state":"NY","stateName":"New York","country":"United States","postalCode":"11530"},"tradeNames":["David E. Astorr, Inc."],"registration":{"secApproved":"27 July 2015","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1581202.5789473683,"staff":{"employees":6,"advisory":5,"brokerDealerReps":6,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":277120242,"discretionary":155183451,"discretionaryAccounts":16,"nonDiscretionary":121936791,"nonDiscretionaryAccounts":242,"wrapProgram":62776140,"nonUsClientsPct":2,"nonAumClients":177},"clientTypes":[{"label":"Individuals (other than HNW)","clients":140,"regulatoryAum":54228102},{"label":"High-net-worth individuals","clients":31,"regulatoryAum":216157539},{"label":"Corporations and other businesses","clients":6,"regulatoryAum":6734601}],"feePrograms":[{"role":"main","program":"Asset Management 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negotiated in advance, with half billed at signing.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1030952","versionId":1030952,"submittedOn":"2026-03-30","documentName":"WILMINGTON CAPITAL SECURITIES, LLC"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T09:03:08.151366+00:00","documents":[{"name":"WILMINGTON CAPITAL SECURITIES, LLC","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1030952","versionId":1030952,"submittedOn":"2026-03-30"}]},"custodians":[],"custodyNote":"Wilmington Capital Securities does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"John Mikes","title":"President of Broker Dealer, General Securities Principal, Elected Manager,osj Supervisor","crd":"2458544"},{"name":"Dennis Peter Lee","title":"Chief Compliance Officer and Aml Compliance Officer of Broker Dealer and Investment Advisor, Registered Options Principal","crd":"6008539"},{"name":"Joseph Donald Columbo","title":"Chairman of Broker Dealer, General Principal, Government Securities Principal, MSRB Principal, Elected Manager","crd":"823524"},{"name":"Ronald Brett Dorushkin","title":"CEO of Broker Dealer, General Principal, Elected Manager","crd":"2245185"},{"name":"Greg Todd Vittor","title":"FINOP, Principal Financial Officer & Principal Operations Officer","crd":"1864219"}],"ownership":[{"label":"Wilmington Capital Group, Inc.","detail":"Parent company in the 75% or more ownership band and a control person, since October 2007."},{"label":"Joseph Donald Columbo","detail":"Indirect owner: a chairman of broker dealer, managing member of Wilmington Capital Group, Inc. in the 25% to 50% band and a control person, since October 2007.","parent":"Wilmington Capital Group, Inc."},{"label":"Ronald Brett Dorushkin","detail":"Indirect owner: a ceo of broker dealer and investment advisor, managing member of Wilmington Capital Group, Inc. in the 25% to 50% band and a control person, since October 2007.","parent":"Wilmington Capital Group, Inc."},{"label":"John Mikes","detail":"Indirect owner: a president of broker dealer, managing member of Wilmington Capital Group, Inc. in the 25% to 50% band and a control person, since October 2007.","parent":"Wilmington Capital Group, Inc."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":3,"privateResidences":0},"listedOfficeAddresses":4,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"365 Fifth Avenue South","city":"Naples"}]},{"state":"New York","offices":3,"addresses":[{"street":"666 Old Country Road, Suite 505","city":"Garden City","headquarters":true},{"street":"1140 Avenue of the Americas","city":"New York"},{"street":"28 Gingerbread Lane","city":"East Hampton"}]}],"brochureServices":["insurance"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 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They include 140 individual clients, 31 high-net-worth individuals, and 6 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Wilmington Capital Securities offer?","answer":"Wilmington Capital Securities provides financial planning, portfolio management for individuals and small businesses, and insurance.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Wilmington Capital Securities charge?","answer":"Wilmington Capital Securities charges 0.50%–2.00% a year for its Asset Management Fees. The fee is billed in advance and is negotiable.","source":"WILMINGTON CAPITAL SECURITIES, LLC, filed 30 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does Wilmington Capital Securities have?","answer":"Wilmington Capital Securities has 6 investment adviser representatives registered with state securities authorities, out of 6 employees, and 5 perform investment advisory functions. 6 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Wilmington Capital Securities invest in?","answer":"At the end of its last fiscal year, Wilmington Capital Securities’ separately managed accounts held 90% exchange-traded equities, 8% investment grade corporate bonds and 2% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Wilmington Capital Securities?","answer":"Wilmington Capital Securities is owned through a holding company by Joseph Donald Columbo, Ronald Brett Dorushkin and John Mikes. Its direct owner is Wilmington Capital Group, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Wilmington Capital Securities get paid?","answer":"Wilmington Capital Securities is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Wilmington Capital Securities?","answer":"Wilmington Capital Securities’ main office is at 666 Old Country Road, Suite 505, Garden City, NY 11530. Its phone number is 516-750-6200.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}