Aegis Capital Corp.
Registered investment adviser · New York, NY · CRD #15007
Form ADV data as of 2026-09-01Regulatory assets
$1.78 billion
Total accounts
4,218
Employees
260
Disclosure events
36
Firm details
- Website: https://www.instagram.com/aegiscapcorp/
- Telephone: 212-813-1010
- SEC file number: 801-71386
- Most recent Form ADV filing: 2026-08-25
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 8 disclosure questions answered Yes, covering 36 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- SEC or CFTC found a violation of its regulations or statutes
- SEC or CFTC entered an order in connection with investment-related activity
- SEC or CFTC imposed a civil money penalty or a cease-and-desist order
- Another regulator found a violation of investment-related regulations or statutes
- Another regulator entered an order in connection with investment-related activity (past 10 years)
- A self-regulatory organization found a violation of its rules
- A self-regulatory organization found the firm caused a business to lose or have its authorization restricted
- Currently subject to a regulatory proceeding that could result in a disclosure under 11.C., 11.D., or 11.E.
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $124.8 million |
| Non-discretionary regulatory assets under management | $1.65 billion |
| Total regulatory assets under management | $1.78 billion |
| Discretionary accounts | 1,337 |
| Non-discretionary accounts | 2,881 |
| Total accounts | 4,218 |
| Regulatory assets under management attributable to non-U.S. persons | $7.9 million |
People
| Total employees (excluding clerical) | 260 |
| Employees performing investment advisory functions (including research) | 92 |
| Employees who are registered representatives of a broker-dealer | 235 |
| Employees registered as investment adviser representatives with a state | 92 |
| Employees registered as IARs for another investment adviser | 2 |
| Employees who are licensed insurance agents | 36 |
| Firms or persons who solicit advisory clients on the firm's behalf | 1 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | Yes |
| A related person has custody of client securities | Yes |
| Client funds and securities held in a related person's custody | $161.8 million |
| Clients for whom a related person has custody | 31 |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 2 |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Brokers or dealers selected under 8.C.(3) are related persons
- Recommends brokers or dealers to clients
- Brokers or dealers recommended under 8.E. are related persons
- Compensates a non-employee for client referrals
- Provides employee compensation specifically for obtaining clients
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 1,914 | $1.10 billion |
| High net worth individuals | 1,116 | $439.1 million |
| Pooled investment vehicles (other than investment companies and BDCs) | 32 | $219.4 million |
| Corporations or other businesses not listed above | 21 | $17.3 million |