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AEGIS CAPITAL CORP.
AEGIS CAPITAL CORP. (CRD# 15007) is an SEC-Registered Investment Advisor (RIA), headquartered in New York, NY. The SEC approved the firm to operate as an RIA in May 2010. In Oct 2018, the firm reported total Regulatory Assets Under Management (RAUM) of $507.1 Million, and has discretion over 14% of those assets.   Pooled investment vehicles (Private Funds) account for 0% of RAUM.   Non-US investors represent 0% .  
 
AEGIS CAPITAL CORP. also reported in Oct 2018:
  • 63 employees, all of whom perform advisory functions.
  • A total of 27 office locations.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
AEGIS CAPITAL CORP. has no disclosure events reported to the SEC at this time.
 

View AEGIS CAPITAL CORP.'s most recent Form ADV filing
 


AEGIS CAPITAL CORP. has Notice Filings with the following State Securities Authorities: AK-Apr 2013, AL-Apr 2013, AR-Apr 2013, AZ-Jun 2011, CA-Jun 2008 , CO-Apr 2013, CT-May 2010, DC-Apr 2013, DE-Apr 2013, FL-May 2010 , GA-May 2010, HI-Jun 2011, IA-Apr 2013, ID-Apr 2013, IL-Apr 2013 , IN-Apr 2013, KS-Apr 2013, KY-Jun 2011, LA-Apr 2013, MA-Apr 2013 , MD-Apr 2013, ME-Apr 2013, MI-Sep 2011, MN-Apr 2013, MO-Apr 2013 , MS-Apr 2013, MT-Apr 2013, NC-May 2010, ND-Apr 2013, NE-Apr 2013 , NH-Apr 2013, NJ-Jun 2010, NM-Apr 2013, NV-Apr 2013, NY-May 2010 , OH-May 2012, OK-Apr 2013, OR-Apr 2013, PA-May 2010, PR-Apr 2013 , RI-Apr 2013, SC-Apr 2013, SD-Apr 2013, TN-Apr 2013, TX-Jun 2011 , UT-Apr 2013, VA-Apr 2013, VI-Apr 2013, VT-Apr 2013, WA-Apr 2013 , WI-Apr 2013, WV-Apr 2013

Disclaimer:  The information presented above was gleaned from the SEC website and is believed to be accurate.  FindingFraud.org is presenting this data for informational purposes only and assumes no responsibility for errors or omissions.  Please note that we are aware of many instances where RIAs provided erroneous data to the SEC.  Feel Free to contact FindingFraud.org with questions or concerns.