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AEGIS CAPITAL CORP.
CRD 15007File 801-71386
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Aug 25, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.78B
Top 25% of cohort (national)
Discretionary AUM
$124.8M
Non-discretionary $1.65B
Clients
3,083
4,218 accounts
Employees
260
Above cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- May 10, 2010
- Principal office
- 1345 AVENUE OF THE AMERICAS, 27TH FLOOR, NEW YORK, NY, 10105
- Phone
- 212-813-1010
- Website
- HTTP://WWW.AEGISCAPCORP.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.78B
- Discretionary AUM
- $124.8M
- Non-discretionary AUM
- $1.65B
- Discretionary accounts
- 1,337
- Non-discretionary accounts
- 2,881
- Total accounts
- 4,218
- AUM per client
- $577K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 21 | $17.3M |
| High net worth individuals | 1,116 | $439.1M |
| Pooled investment vehicles | 32 | $219.4M |
| Individuals (other than high net worth individuals) | 1,914 | $1.10B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11- Q11
- Q11G
- Q11C2
- Q11C4
- Q11C5
- Q11D2
- Q11D4
- Q11E2
- Q11E3
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Mar 1, 2026 | Employees | 270 | 260 | decreased by10 |
| Mar 1, 2026 | Clients | 1,733 | 3,083 | increased by1,350 |
| Mar 1, 2026 | AUM | $1,430,612,106 | $1,777,602,590 | increased by$346,990,484 |
| Mar 1, 2026 | Accounts | 2,760 | 4,218 | increased by1,458 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 331 | 270 | decreased by61 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,374 | 1,733 | increased by359 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $831,687,812 | $1,430,612,106 | increased by$598,924,294 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,374 | 2,760 | increased by1,386 |
| Mar 1, 2022 | Employees | 322 | 331 | increased by9 |
| Mar 1, 2022 | Clients | 1,466 | 1,374 | decreased by92 |
| Mar 1, 2022 | AUM | $761,268,877 | $831,687,812 | increased by$70,418,935 |
| Mar 1, 2022 | Accounts | 1,466 | 1,374 | decreased by92 |
| Aug 1, 2021 | Custody | No | Yes | |
| 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 “AEGIS CAPITAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“AEGIS CAPITAL” 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.