# Gagnon Advisors

> 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.

- CRD: 161697
- Filed as: GAGNON ADVISORS
- Legal name: Gagnon Advisors, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: August 12, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/161697
- AdvisorCensus page: https://advisorcensus.com/firm/gagnon-advisors-new-york-ny-161697

## Quick answers

**How is Gagnon Advisors compensated?**
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. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Gagnon Advisors located?**
Gagnon Advisors' principal office is in New York, NY, according to its Form ADV.

**Is Gagnon Advisors registered with the SEC or a state?**
Gagnon Advisors is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 161697.

**How much does Gagnon Advisors manage?**
Gagnon Advisors reports $187,307,870 in regulatory assets under management in its Form ADV filing dated August 12, 2026 (100% discretionary).

**How have Gagnon Advisors' assets and staff changed since 2021?**
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.

**What types of clients does Gagnon Advisors serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (3).

**Does Gagnon Advisors report any disciplinary disclosures?**
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

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Commissions
- Performance-based fees

### Regulatory assets under management (Item 5.F)
- Total: $187,307,870
- Discretionary: $187,307,870
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Pooled investment vehicles (other than investment companies and business development companies) | 3 | $187,307,870 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)

### Firm details
- Registered since: 2014 (12 years)
- Employees: 10 total, 6 performing advisory functions
- Wrap fee program participation: No
- Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 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?

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. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/161697

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $205,781,991 | 9 | March 2, 2021 |
| October 2022 | $222,675,930 | 9 | February 24, 2022 |
| October 2023 | $151,553,421 | 10 | May 4, 2023 |
| October 2024 | $141,919,465 | 10 | March 28, 2024 |
| October 2025 | $181,145,386 | 10 | June 4, 2025 |
| October 2026 | $187,307,870 | 10 | August 12, 2026 |

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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Gagnon Advisors (CRD 161697): Form ADV filing data as of October 2026.