SEC-registered wealth management firm Broker-dealer affiliated
Gagnon Securities, LLC
As of its Form ADV filed August 12, 2026, Gagnon Securities, LLC, an SEC-registered, broker-dealer affiliated wealth management firm in New York, New York, reported $529.7 million in regulatory assets under management across 1,202 accounts, ranking #209 among all wealth firms in New York by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 103727
- SEC file number
- 801-64836
- Registered since
- October 21, 2005
- Latest Form ADV filing
- August 12, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $529.7 million
- Discretionary
- $529.7 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 1,202 (1,202 discretionary)
- Clients
- 1,203, approximate as reported
- Employees
- 19
- Advisory staff
- 10 performing investment advisory functions
- Average account
- $440,694
- Asset growth, 1 year
- -2.9% (from $545.3 million a year earlier)
- Asset growth, 3-year annual rate
- 4.7% (from $461.4 million three years earlier)
- Asset growth, 5-year annual rate
- -7.6% (from $784.6 million five years earlier)
- Client growth, 1 year
- -0.1% (from 1,204)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $1.1 billion |
| October 3, 2011 | $1.3 billion |
| October 1, 2012 | $140.3 million |
| October 1, 2013 | $261.3 million |
| October 1, 2014 | $353.2 million |
| October 1, 2015 | $265.0 million |
| October 3, 2016 | $191.9 million |
| October 2, 2017 | $186.3 million |
| October 1, 2018 | $224.4 million |
| October 1, 2019 | $340.4 million |
| October 1, 2020 | $388.1 million |
| October 4, 2021 | $784.6 million |
| October 3, 2022 | $710.1 million |
| October 5, 2023 | $461.4 million |
| October 1, 2024 | $438.0 million |
| September 2, 2025 | $545.3 million |
| October 2, 2026 | $529.7 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 1,025 clients | $247.6 million | |
| High net worth individuals 33 clients | $224.2 million | |
| Corporations or other businesses 144 clients | $58.0 million |
How the firm is paid
- A percentage of assets under management
- Commissions
Advisory services
- Portfolio management for individuals or small businesses
Financial planning clients (Item 5.H): 0.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
Financial industry affiliations (Item 7.A)
- Other investment adviser
- Sponsor, general partner or managing member of pooled investment vehicles
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 19
- Also registered through a broker-dealer
- 18
- Employees who are IARs (Form ADV 5.B(3))
- 19
0 of the firm's 19 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 3 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in New York
| Firm | City | RAUM |
|---|---|---|
| Wellington Shields & Co., LLC | New York | $546.0 million |
| Palumbo Wealth Management LLC | Great Neck | $543.4 million |
| Andrew Garrett, Inc. | New York | $521.3 million |
| Elevatus Wealth Management, LLC | Victor | $513.4 million |
| Horizon Financial | West Henrietta | $510.2 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Gagnon Securities, LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.gagnonsec.com
- Wealth management firms in New York
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.