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.
Gagnon Securities, LLC
New York, NY
CRD 103727
Firm filing updated August 12, 2026 ·
- $529.7MAssets
- 1,202Clients
- 10Advisory staff
- 1,202Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- CommissionsYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals1,025
- Corporations or other businesses144
- High net worth individuals33
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 1,025 | $247.6 million |
| High net worth individuals | 33 | $224.2 million |
| Corporations or other businesses not listed above | 144 | $58.0 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
- Portfolio management for individuals and/or small businesses
- Portfolio management for individuals and/or small businesses
Assets and accounts
- Regulatory assets$529.7 million
- Accounts1,202
- DiscretionaryAll accounts
People
- Employees19
- Advisory staff10
- Broker-dealer reps19
- Licensed insurance agents0
- Planning clients0
Advisors
9 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 103727, SEC file 801-64836.
- Registered with the SEC as an investment advisor (status date on record: October 21, 2005).
Is Gagnon Securities, LLC a fiduciary?
Short answer: Gagnon Securities, LLC is registered with the SEC as an investment advisor.
More detail
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.
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: 19 staff are broker-dealer representatives and the firm is itself a 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.
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.