Broker-dealer firm · New York, NY
Aegis Capital Corp.
SEC-registered investment adviser · CRD 15007 · SEC 801-71386
At a glance
Aegis Capital Corp. is an SEC-registered investment adviser based in New York, New York, with $1.8 billion in regulatory assets under management as of its Form ADV filed August 25, 2026. Its largest client group by assets is individuals, and it reports 3,030 individual clients. By Form ADV it is a broker-dealer firm, ranked 141st of 391 broker-dealer firms and 3,883rd of 17,210 SEC-registered advisers by assets.
Main office 212-813-1010aegiscapitalcorp.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.8B
- Rank among broker-dealer firms
- #141 of 391
- Rank among all SEC RIAs
- #3,883 of 17,210
- Rank in New York
- #918 of 2,591
- Individual clients
- 3,030
- High-net-worth clients
- 1,116
- Accounts
- 4,218
- Discretionary
- 7% of AUM
- Employees
- 260
- Advisory staff
- 92
- Offices
- 19
Owners and executives on its Form ADV
- Robert Jay EideCEO, Secretary, CLO, Director
- Thomas Champney PossChief Financial Officer, Co-Finop
- George Gregory KottChief Operating Officer
- John Stevenson MillerCo-Finop
- Francis J McKennaMunicipal Principal
- Robert Steven FeinmanChief Compliance Officer
Custody and brokerage
Custodian
Aegis Capital Corp.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Aegis Capital Corp. is a hybrid RIA: 235 of its employees are also registered representatives of a broker-dealer. It reports a broker-dealer among its affiliates on Form ADV.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 1,914 | $1.1B | 62% |
| High-net-worth individuals | 1,116 | $439M | 25% |
| Pooled investment vehicles | 32 | $219M | 12% |
| Corporations or other businesses | 21 | $17M | <1% |
Private funds
Aegis Capital Corp. reports 32 private funds with $269M in gross assets: private equity funds (Form ADV Item 7.B).
Disciplinary disclosures
Aegis Capital Corp. answers yes to 36 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
Form ADV and brochures on the SEC’s adviser search ↗aegiscapitalcorp.com ↗
AtlasMembers
The full record on Aegis Capital Corp.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 104 peers of its type and size
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- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 3Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Aegis Capital Corp. manage?
Aegis Capital Corp. reports $1.8 billion in regulatory assets under management across 4,218 accounts, 7% of it on a discretionary basis, on its Form ADV filed August 25, 2026.
What kind of firm is Aegis Capital Corp.?
Aegis Capital Corp. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Aegis Capital Corp.’s clients?
By assets, its largest client types are individuals ($1.1 billion, 1,914 clients); high-net-worth individuals ($439 million, 1,116 clients); pooled investment vehicles ($219 million, 32 clients).
Does Aegis Capital Corp. manage private funds?
Yes. It reports 32 private funds with $269 million in gross assets, including private equity funds.
Does Aegis Capital Corp. have any disciplinary history?
Aegis Capital Corp. answers yes to 36 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Aegis Capital Corp.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-25), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →