{
  "crd_number": 161697,
  "slug": "gagnon-advisors-new-york-ny-161697",
  "primary_business_name": "GAGNON ADVISORS",
  "legal_name": "GAGNON ADVISORS, LLC",
  "dbas": [],
  "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": "2014-04-16",
  "years_registered": 12,
  "period": "2026-10-01",
  "filing_date": "2026-08-12",
  "carried_forward": false,
  "raum_total": 187307870.0,
  "raum_discretionary": 187307870.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 10,
  "advisory_employees": 6,
  "client_count_bucket": null,
  "clients_by_type": {
    "pooled_investment_vehicles": {
      "raum": 187307870.0,
      "count": 3
    }
  },
  "compensation_types": [
    "commissions",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 3,
  "states_registered": [],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/161697",
  "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?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/gagnon-advisors-new-york-ny-161697",
  "display_name": "Gagnon Advisors",
  "summary": "Gagnon Advisors is an SEC-registered investment advisory firm in New York, NY, registered since 2014, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated August 12, 2026.",
  "citation": "AdvisorCensus. Gagnon Advisors (CRD 161697): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Commissions",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Portfolio management for pooled investment vehicles (other than investment companies)"
  ],
  "quick_answers": [
    {
      "q": "How is Gagnon Advisors compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Gagnon Advisors reports these compensation arrangements: a percentage of assets under its management; commissions; performance-based fees."
    },
    {
      "q": "Where is Gagnon Advisors located?",
      "a": "Gagnon Advisors' principal office is in New York, NY, according to its Form ADV."
    },
    {
      "q": "Is Gagnon Advisors registered with the SEC or a state?",
      "a": "Gagnon Advisors is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 161697."
    },
    {
      "q": "How much does Gagnon Advisors manage?",
      "a": "Gagnon Advisors reports $187,307,870 in regulatory assets under management in its Form ADV filing dated August 12, 2026 (100% discretionary)."
    },
    {
      "q": "How have Gagnon Advisors' assets and staff changed since 2021?",
      "a": "In the Form ADV data for Gagnon Advisors: Regulatory assets under management: $205,781,991 in the October 2021 data and $187,307,870 in the October 2026 data, down 9%. Total employees: 9 in October 2021 and 10 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Gagnon Advisors serve?",
      "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (3)."
    },
    {
      "q": "Does Gagnon Advisors report any disciplinary disclosures?",
      "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). 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/161697"
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 205781991.0,
      "total_employees": 9,
      "filing_date": "2021-03-02"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 222675930.0,
      "total_employees": 9,
      "filing_date": "2022-02-24"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 151553421.0,
      "total_employees": 10,
      "filing_date": "2023-05-04"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 141919465.0,
      "total_employees": 10,
      "filing_date": "2024-03-28"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 181145386.0,
      "total_employees": 10,
      "filing_date": "2025-06-04"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 187307870.0,
      "total_employees": 10,
      "filing_date": "2026-08-12"
    }
  ],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/gagnon-advisors-new-york-ny-161697.md",
  "clients": [
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 3,
      "fewer_than_5": false,
      "raum": 187307870.0
    }
  ],
  "disclosure_line": "Reports 3 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/161697",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}