SEC-registered wealth management firm Broker-dealer affiliated
Aegis Capital Corp.
As of its Form ADV filed August 25, 2026, Aegis Capital Corp., an SEC-registered, broker-dealer affiliated wealth management firm in New York, New York, reported $1.8 billion in regulatory assets under management across 4,218 accounts, ranking #84 among all wealth firms in New York by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 15007
- SEC file number
- 801-71386
- Registered since
- May 10, 2010
- Latest Form ADV filing
- August 25, 2026
- Organized as
- Corporation
- Fiscal year ends
- November
- Other offices
- 18
Key figures
- Regulatory assets under management
- $1.8 billion
- Discretionary
- $124.8 million (7.0%)
- Non-discretionary
- $1.7 billion
- Accounts
- 4,218 (1,337 discretionary)
- Clients
- 3,083, approximate as reported
- Employees
- 260
- Advisory staff
- 92 performing investment advisory functions
- Average account
- $421,433
- Asset growth, 1 year
- 24.3% (from $1.4 billion a year earlier)
- Asset growth, 3-year annual rate
- 19.8% (from $1.0 billion three years earlier)
- Asset growth, 5-year annual rate
- 18.5% (from $761.3 million five years earlier)
- Client growth, 1 year
- 77.9% (from 1,733)
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 | $61.2 million |
| October 3, 2011 | $82.8 million |
| October 1, 2012 | $74.2 million |
| October 1, 2013 | $125.0 million |
| October 1, 2014 | $200.0 million |
| October 1, 2015 | $259.5 million |
| October 3, 2016 | $326.6 million |
| October 2, 2017 | $369.1 million |
| October 1, 2018 | $507.1 million |
| October 1, 2019 | $542.5 million |
| October 1, 2020 | $639.8 million |
| October 4, 2021 | $761.3 million |
| October 3, 2022 | $831.7 million |
| October 5, 2023 | $1.0 billion |
| October 1, 2024 | $1.3 billion |
| September 2, 2025 | $1.4 billion |
| October 2, 2026 | $1.8 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 1,914 clients | $1.1 billion | |
| High net worth individuals 1,116 clients | $439.1 million | |
| Pooled investment vehicles 32 clients | $219.4 million | |
| Corporations or other businesses 21 clients | $17.3 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses or institutional clients
- Selection of other advisers
Financial planning clients (Item 5.H): 26-50.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Lawyer or law firm
- Insurance company or agency
- Sponsor, general partner or managing member of pooled investment vehicles
Advises 32 private funds (Item 7.B).
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 101
- Also registered through a broker-dealer
- 90
- Employees who are IARs (Form ADV 5.B(3))
- 92
Designations held by the firm's IARs: CFP 4, CFA 1.
Between 28 and 101 of the firm's 101 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 8 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 |
|---|---|---|
| Rockbridge Investment Management, LLC | Syracuse | $1.8 billion |
| Altfest Personal Wealth Management | New York | $1.8 billion |
| WNY Asset Management, LLC | Williamsville | $1.7 billion |
| Novem Group | Rochester | $1.7 billion |
| Citrin Cooperman Wealth Management, LLC | New York | $1.7 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Aegis Capital Corp. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.aegiscapcorp.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.