SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Aegis Capital Corp.
New York, NY
CRD 15007
Firm filing updated August 25, 2026 ·
- $1.8BAssets
- 3,083Clients
- 92Advisory staff
- 4,218Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals1,914
- High net worth individuals1,116
- Pooled vehicles32
- Corporations or other businesses21
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 1,914 | $1.1 billion |
| High net worth individuals | 1,116 | $439.1 million |
| Pooled investment vehicles (other than investment companies and business development companies) | 32 | $219.4 million |
| Corporations or other businesses not listed above | 21 | $17.3 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
See all 5 services
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
- 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 advisors (including private fund managers)
Assets and accounts
- Regulatory assets$1.8 billion
- Accounts4,218
- Discretionary$124.8 million · 1,337 accounts
- Non-discretionary$1.7 billion · 2,881 accounts
People
- Employees260
- Advisory staff92
- Broker-dealer reps235
- Licensed insurance agents36
- Planning clients26 to 50
Advisors
52 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 15007, SEC file 801-71386.
- Registered with the SEC as an investment advisor (status date on record: May 10, 2010).
Is Aegis Capital Corp. a fiduciary?
Short answer: Aegis Capital Corp. is registered with the SEC as an investment advisor. Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 235 staff are broker-dealer representatives, the firm is itself a broker-dealer and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
36 staff are licensed insurance agents, the firm is itself an insurance broker or agent and the firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.