Aegis Capital Corp.

• A percentage of assets under your management
• Hourly charges

Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ

See the firm's brochure (dated February 26, 2026) for its fees and any account minimum, on the SEC's IAPD site.

$1,777,602,590 as of October 2026, filing dated August 25, 2026.

A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means

A firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.

• Financial planning services
• Portfolio management for individuals and/or small businesses
• Portfolio management for pooled investment vehicles (other than investment companies)
• Portfolio management for businesses (other than small businesses) or institutional clients
• Selection of other advisers (including private fund managers)

Also doing business as

ALPHA STRATEGIC ADVISORS, AMERICAN LEGACY WEALTH MANAGEMENT, BLUE ANCHOR WEALTH MANAGEMENT, BOGART VALUE PARTNERS, DYNAMIC CAPITAL HOLDING, FARMER FINANCIAL, LARCHMONT WEALTH MANAGEMENT, MEL CAPITAL, PAR FINANCIAL, RIWM LLC, STANDARD INTEGRITY WEALTH MANAGEMENT, LLC, VAST WEALTH ADVISORS

Registration

SEC-registered investment adviser. Status as filed: Approved.

Registered since

2010 (16 years)

Employees

Total: 260. Performing investment advisory functions: 92.

Wrap fee program participation

No.

Other offices (Schedule D, Section 1.F)

18 other offices, as of the September 2026 filing

Boca Raton, FLBowling Green, KYBronxville, NYCoral Gables, FLEgg Harbor Twp, NJLaguna Niguel, CALarchmont, NYManasquan, NJMelville, NYPortland, ORRed Bank, NJRochester, NYRolling Hills Estates, CASarasota, FLTampa, FLTimonium, MDWest Milford, NJWestport, CT

States registered or notice-filed

52 states or jurisdictions

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SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration

8 Reports 8 disclosure items on Form ADV Item 11. View on IAPD.

Questions answered yes on this filing

Regulatory matters Items 11.C to 11.G

• 11.C(2) Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
• 11.C(4) Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
• 11.C(5) Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?
• 11.D(2) Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
• 11.D(4) In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
• 11.E(2) Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?
• 11.E(3) Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?
• 11.G Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. What happened, and who was involved, is on the Disclosure Reporting Pages of the IAPD record. Reading a firm's disclosures

Regulatory assets under management: $761,268,877 in the October 2021 data and $1,777,602,590 in the October 2026 data, up 134%.

Total employees: 322 in October 2021 and 260 in October 2026.

As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.

1. March 2026
   • Employees performing advisory functions went from 90 to 92.
   • Regulatory assets under management went from $1,430,612,106 to $1,777,602,590 (+24%).
   • Added an office in Laguna Niguel, CA.
   • Added an office in Larchmont, NY.
   • No longer lists an office in Brentwood, TN.
   • No longer lists an office in Palo Alto, CA.

Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.