← Directory
GAGNON SECURITIES, LLC
CRD 103727File 801-64836
APPROVED
Retail clients
Disclosure events
Filing as of Aug 12, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$529.7M
Above cohort median (national)
Discretionary AUM
$529.7M
Clients
1,202
1,202 accounts
Employees
19
Below cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Oct 21, 2005
- Principal office
- 1370 6TH AVENUE, 26TH FLOOR, NEW YORK, NY, 10019
- Phone
- 212-554-5000
- Website
- HTTP://WWW.GAGNONSEC.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $529.7M
- Discretionary AUM
- $529.7M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 1,202
- Non-discretionary accounts
- 0
- Total accounts
- 1,202
- AUM per client
- $441K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 144 | $58.0M |
| High net worth individuals | 33 | $224.2M |
| Individuals (other than high net worth individuals) | 1,025 | $247.6M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Commissions
- A percentage of assets under your management
Advisory activities
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11C2
- Q11C4
- Q11C5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Mar 1, 2026 | Employees | 20 | 19 | decreased by1 |
| Mar 1, 2026 | Clients | 1,203 | 1,202 | decreased by1 |
| Mar 1, 2026 | AUM | $545,317,238 | $529,713,650 | decreased by$15,603,588 |
| Mar 1, 2026 | Accounts | 1,203 | 1,202 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 23 | 20 | decreased by3 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,192 | 1,203 | increased by11 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $710,114,755 | $545,317,238 | decreased by$164,797,517 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,192 | 1,203 | increased by11 |
| Mar 1, 2022 | Clients | 1,167 | 1,192 | increased by25 |
| Mar 1, 2022 | AUM | $784,631,376 | $710,114,755 | decreased by$74,516,621 |
| Mar 1, 2022 | Accounts | 1,167 | 1,192 | increased by25 |
| Sep 1, 2021 | Clients | 1,094 | 1,167 | increased by73 |
| Sep 1, 2021 | AUM | $689,355,224 | $784,631,376 | increased by$95,276,152 |
| Sep 1, 2021 | Accounts | 1,094 | 1,167 | increased by73 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “GAGNON SECURITIES” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“GAGNON SECURITIES” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.