{ "crd_number": 305008, "slug": "aegis-asset-management-inc-anaheim-ca-305008", "primary_business_name": "AEGIS ASSET MANAGEMENT, INC.", "legal_name": "AEGIS ASSET MANAGEMENT, INC.", "dbas": [], "city": "Anaheim", "state": "CA", "country": "United States", "cbsa_code": "31080", "metro": { "cbsa_code": "31080", "common_name": "Los Angeles", "msa_name": "Los Angeles-Long Beach-Anaheim, CA", "path": "/advisors/ca/los-angeles" }, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2019-10-04", "years_registered": 6, "period": "2026-10-01", "filing_date": "2026-06-23", "carried_forward": false, "raum_total": 9206447.0, "raum_discretionary": 9206447.0, "raum_non_discretionary": 0.0, "raum_band": "under_25m", "raum_band_label": "Under $25 million", "total_employees": 3, "advisory_employees": 1, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 1546301.0, "count": 3, "fewer_than_5": true }, "pension_profit_sharing": { "raum": 4140153.0, "count": 4, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 1795859.0, "count": 2, "fewer_than_5": true }, "corporations_other_businesses": { "raum": 1724134.0, "count": 1, "fewer_than_5": true } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 2, "states_registered": [ "CA" ], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/305008", "disclosure_items": [ { "item": "11.D(3)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?" }, { "item": "11.D(5)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?" } ], "city_as_filed": "ANAHEIM", "url": "https://advisorcensus.com/firm/aegis-asset-management-inc-anaheim-ca-305008", "display_name": "Aegis Asset Management, Inc.", "summary": "Aegis Asset Management, Inc. is a state-registered investment advisory firm in Anaheim, CA, registered since 2019, reporting under $25 million in regulatory assets under management in its Form ADV filing dated June 23, 2026.", "citation": "AdvisorCensus. Aegis Asset Management, Inc. (CRD 305008): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses" ], "quick_answers": [ { "q": "How is Aegis Asset Management, Inc. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Aegis Asset Management, Inc. reports these compensation arrangements: a percentage of assets under its management." }, { "q": "Where is Aegis Asset Management, Inc. located?", "a": "Aegis Asset Management, Inc.'s principal office is in Anaheim, CA, according to its Form ADV." }, { "q": "Is Aegis Asset Management, Inc. registered with the SEC or a state?", "a": "Aegis Asset Management, Inc. is a state-registered investment advisory firm, registered since 2019. Status as filed: APPROVED. CRD 305008." }, { "q": "How much does Aegis Asset Management, Inc. manage?", "a": "Aegis Asset Management, Inc. reports $9,206,447 in regulatory assets under management in its Form ADV filing dated June 23, 2026 (100% discretionary)." }, { "q": "What types of clients does Aegis Asset Management, Inc. serve?", "a": "By number of clients on Form ADV Item 5.D: pension and profit sharing plans (but not the plan participants or government pension plans) (4); individuals (other than high net worth individuals) (3); high net worth individuals (2)." }, { "q": "Does Aegis Asset Management, Inc. report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(3) (another regulator's finding of causing a business's authorization to be denied, suspended, revoked, or restricted) and 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/305008" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/aegis-asset-management-inc-anaheim-ca-305008.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 3, "fewer_than_5": true, "raum": 1546301.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 2, "fewer_than_5": true, "raum": 1795859.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 4, "fewer_than_5": true, "raum": 4140153.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 1, "fewer_than_5": true, "raum": 1724134.0 } ], "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/305008", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }