{
  "crd_number": 15007,
  "slug": "aegis-capital-corp-new-york-ny-15007",
  "primary_business_name": "AEGIS CAPITAL CORP.",
  "legal_name": "AEGIS CAPITAL CORP.",
  "dbas": [
    "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"
  ],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2010-05-10",
  "years_registered": 16,
  "period": "2026-10-01",
  "filing_date": "2026-08-25",
  "carried_forward": false,
  "raum_total": 1777602590.0,
  "raum_discretionary": 124784803.0,
  "raum_non_discretionary": 1652817787.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 260,
  "advisory_employees": 92,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 1101721802.0,
      "count": 1914
    },
    "high_net_worth_individuals": {
      "raum": 439129295.0,
      "count": 1116
    },
    "pooled_investment_vehicles": {
      "raum": 219442155.0,
      "count": 32
    },
    "corporations_other_businesses": {
      "raum": 17309338.0,
      "count": 21
    }
  },
  "compensation_types": [
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "portfolio_management_pooled_vehicles",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 8,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "PR",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VI",
    "VT",
    "WA",
    "WI",
    "WV"
  ],
  "websites": [
    "https://aegiscapcorp.com",
    "https://aegiscapitalcorp.com/Daniel-caso",
    "https://aegiscapitalcorp.com/Josh-Feldman",
    "https://blueanchorwealthmanagement.com",
    "https://claytonshum.com",
    "https://dailymotion.com/aegiscapitalcorp",
    "https://ellitosherer.com",
    "https://facebook.com/Aegis-Capital-Corp-199310583554678",
    "https://instagram.com/aegiscapcorp",
    "https://larchmontwealth.com",
    "https://linkedin.com/company/aegis-capital",
    "https://mfiinvest.com",
    "https://parfinancial.com",
    "https://pinterest.com/AegisCapitalCorp",
    "https://riwm.net",
    "https://roccojlafaro.com",
    "https://twitter.com/AegisCapCorp",
    "https://vimeo.com/aegiscapitalcorp",
    "https://youtube.com/channel/UCco5R6ceB6h8oCvJKJmDHig"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/15007",
  "disclosure_items": [
    {
      "item": "11.C(2)",
      "question": "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?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "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?"
    },
    {
      "item": "11.D(2)",
      "question": "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?"
    },
    {
      "item": "11.D(4)",
      "question": "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?"
    },
    {
      "item": "11.E(2)",
      "question": "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?"
    },
    {
      "item": "11.E(3)",
      "question": "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?"
    },
    {
      "item": "11.G",
      "question": "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?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/aegis-capital-corp-new-york-ny-15007",
  "display_name": "Aegis Capital Corp.",
  "summary": "Aegis Capital Corp. is an SEC-registered investment advisory firm in New York, NY, registered since 2010, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated August 25, 2026.",
  "citation": "AdvisorCensus. Aegis Capital Corp. (CRD 15007): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges"
  ],
  "advisory_activity_labels": [
    "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)"
  ],
  "quick_answers": [
    {
      "q": "How is Aegis Capital Corp. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Aegis Capital Corp. reports these compensation arrangements: a percentage of assets under its management; hourly charges."
    },
    {
      "q": "Where is Aegis Capital Corp. located?",
      "a": "Aegis Capital Corp.'s principal office is in New York, NY, according to its Form ADV; the September 2026 filing also lists 18 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Aegis Capital Corp. registered with the SEC or a state?",
      "a": "Aegis Capital Corp. is an SEC-registered investment advisory firm, registered since 2010. Status as filed: Approved. CRD 15007."
    },
    {
      "q": "How much does Aegis Capital Corp. manage?",
      "a": "Aegis Capital Corp. reports $1,777,602,590 in regulatory assets under management in its Form ADV filing dated August 25, 2026 (7% discretionary)."
    },
    {
      "q": "How have Aegis Capital Corp.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Aegis Capital Corp.: 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. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Aegis Capital Corp. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,914); high net worth individuals (1,116); pooled investment vehicles (other than investment companies and business development companies) (32)."
    },
    {
      "q": "Does Aegis Capital Corp. report any disciplinary disclosures?",
      "a": "Reports 8 disclosure items on Form ADV Item 11: yes answers to 8 questions about regulatory matters (11.C(2), 11.C(4), 11.C(5), 11.D(2), 11.D(4), 11.E(2), 11.E(3), 11.G). 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 SEC record: https://adviserinfo.sec.gov/firm/summary/15007"
    },
    {
      "q": "What changed in Aegis Capital Corp.'s recent Form ADV filings?",
      "a": "In the March 2026 filing data: 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."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 761268877.0,
      "total_employees": 322,
      "filing_date": "2021-07-07"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 831687812.0,
      "total_employees": 331,
      "filing_date": "2022-08-17"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 1033140094.0,
      "total_employees": 297,
      "filing_date": "2023-02-27"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 1282090691.0,
      "total_employees": 257,
      "filing_date": "2024-02-29"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 1430612106.0,
      "total_employees": 270,
      "filing_date": "2025-05-16"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 1777602590.0,
      "total_employees": 260,
      "filing_date": "2026-08-25"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-03-01",
      "period_label": "March 2026",
      "notes": [
        "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."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/aegis-capital-corp-new-york-ny-15007.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 1914,
      "fewer_than_5": false,
      "raum": 1101721802.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 1116,
      "fewer_than_5": false,
      "raum": 439129295.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 32,
      "fewer_than_5": false,
      "raum": 219442155.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 21,
      "fewer_than_5": false,
      "raum": 17309338.0
    }
  ],
  "disclosure_line": "Reports 8 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/15007",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}