AEGIS CAPITAL CORP.
Adviser information for AEGIS CAPITAL CORP. last updated from Form ADV on February 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | NOVEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 257 |
|---|---|
| Investment Advisory/Research | 63 |
| Registered Broker-Dealer Representatives | 257 |
| Registered State Investment Advisers | 63 |
| Licensed Agents of an Insurance Company | 40 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 979 | $391.1M |
| Non-Discretionary | 1,500 | $891.0M |
| Total | 2,479 | $1.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 2,369 | $747.5M |
| HNW Individuals | 26 | $200.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 37 | $294.4M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 47 | $39.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Principal Office
1345 AVENUE OF THE AMERICAS27TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9-5
Tel: 212-813-1010, Fax: 212-937-3916
Websites
www.aegiscapcorp.com
www.facebook.com/aegis-capital-corp-199310583554678/
www.youtube.com/channel/ucco5r6ceb6h8ocvjkjmdhig
vimeo.com/aegiscapitalcorp
twitter.com/aegiscapcorp/
www.instagram.com/aegiscapcorp/
www.linkedin.com/company/aegis-capital
www.pinterest.com/aegiscapitalcorp/
www.dailymotion.com/aegiscapitalcorp
Chief Compliance Officer
KEVIN MEADE
CHIEF COMPLIANCE OFFICER
1345 AVENUE OF THE AMERICAS
27TH FLOOR
NEW YORK
NY
United States
Tel:
212-813-1010
Fax:
212-937-3916
C*************@***********M
(Full email address available in API data)
Regulatory Contact
ROBERT FEINMAN
COMPLIANCE OFFICER
1345 AVENUE OF THE AMERICAS
27TH FLOOR
NEW YORK
NY
United States
Tel:
212-813-1010
Fax:
212-937-3916
C*************@***********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| AEGIS DELIVERS OPPORTUNITY FUND, LLC - SERVE ROBOTICS SERIES | Private Equity Fund | $4.9M | $0.1M | 52 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES AEROSPACE I | Private Equity Fund | $5.6M | $0.1M | 94 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES AEROSPACE II | Private Equity Fund | $4.5M | $0.1M | 64 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES AEROSPACE III | Private Equity Fund | $11.0M | $0.1M | 91 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES AGRITECH II | Private Equity Fund | $9.6M | $0.1M | 100 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES BIG DATA II | Private Equity Fund | $14.1M | $0.1M | 85 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES DIGITAL FREIGHT NETWORK I | Private Equity Fund | $10.6M | $0.1M | 100 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES EDUCATION 1 | Private Equity Fund | $3.5M | $0.1M | 39 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES FINTECH I | Private Equity Fund | $11.5M | $0.1M | 71 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES FINTECH III | Private Equity Fund | $11.5M | $0.1M | 100 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES HEALTHTECH I | Private Equity Fund | $11.3M | $0.1M | 99 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES MEDTECH I | Private Equity Fund | $4.9M | $0.1M | 51 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES MEDTECH II | Private Equity Fund | $7.8M | $0.1M | 53 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES MEDTECH III | Private Equity Fund | $7.8M | $0.1M | 65 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES MEDTECH IV | Private Equity Fund | $13.4M | $0.1M | 97 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES MEDTECH IX | Private Equity Fund | $8.8M | $0.1M | 73 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES MEDTECH V | Private Equity Fund | $11.6M | $0.1M | 69 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES MEDTECH VI | Private Equity Fund | $11.1M | $0.1M | 98 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES MEDTECH VII | Private Equity Fund | $4.3M | $0.1M | 46 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES MEDTECH VIII | Private Equity Fund | $4.1M | $0.1M | 47 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES MEDTECH X | Private Equity Fund | $6.0M | $0.1M | 51 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES MEDTECH XI | Private Equity Fund | $6.2M | $0.1M | 52 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES MEDTECH XII | Private Equity Fund | $4.0M | $0.1M | 31 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES MEDTECH XIII | Private Equity Fund | $2.0M | $0.1M | 42 |
| AEGIS SPECIAL SITUATIONS FUND LLC - SERIES PLANT PROTEIN 1 | Private Equity Fund | $6.2M | $0.1M | 84 |
| AEGIS SPECIAL SITUATIONS QP FUND LLC - SERIES AEROSPACE 1 | Private Equity Fund | $2.3M | $0.1M | 22 |
| AEGIS SPECIAL SITUATIONS QP FUND LLC - SERIES AGRITECH II | Private Equity Fund | $9.1M | $0.1M | 22 |
| AEGIS SPECIAL SITUATIONS QP FUND LLC - SERIES MEDTECH IV | Private Equity Fund | $4.9M | $0.1M | 37 |
| AEGIS SPECIAL SITUATIONS QP FUND LLC - SERIES MEDTECH VI | Private Equity Fund | $3.9M | $0.1M | 27 |
| AEGIS SPECIAL SITUATIONS QP FUND LLC - SERIES MEDTECH VIII | Private Equity Fund | $2.3M | $0.1M | 25 |
| AEGIS SPECIAL SITUATIONS QP FUND LLC - SERIES MEDTECH XIII | Private Equity Fund | $2.8M | $0.1M | 16 |
| AEGIS SPECIAL SITUATIONS QP FUND LLC - SERIES PLANT PROTEIN 1 | Private Equity Fund | $9.9M | $0.1M | 100 |
| AGRITECH PARTNERS LLC - SERIES HB-1 | Private Equity Fund | $11.8M | $0.1M | 100 |
| AGRITECH QP PARTNERS LLC - SERIES HB-1 | Private Equity Fund | $34.9M | $0.1M | 294 |
| TECH INSIGHT PARTNERS LLC - SERIES A | Private Equity Fund | $5.8M | $0.1M | 28 |
| TECH INSIGHT PARTNERS LLC - SERIES B | Private Equity Fund | $3.7M | $0.1M | 29 |
| TECH INSIGHT PARTNERS LLC - SERIES C | Private Equity Fund | $6.2M | $0.1M | 60 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| EIDE, ROBERT JAY | Individual | – | CEO, SECRETARY, CLO, DIRECTOR | 01/1984 | < 5% |
| EIDE, ROBERT JAY | Individual | AEGIS CAPITAL HOLDING CORP. | SHAREHOLDER | 05/1992 | > 75% |
| AEGIS CAPITAL HOLDING CORP. | Domestic Entity | – | HOLDING COMPANY | 05/1992 | > 75% |
| POSS, THOMAS CHAMPNEY | Individual | – | CHIEF FINANCIAL OFFICER, CO-FINOP | 07/2009 | < 5% |
| KOTT, GEORGE GREGORY | Individual | – | CHIEF OPERATING OFFICER | 08/2009 | < 5% |
| NEWMAN, ERIC | Individual | – | CHIEF SUPERVISORY OFFICER | 12/2017 | < 5% |
| MEADE, KEVIN C | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2022 | < 5% |
| MILLER, JOHN STEVENSON | Individual | – | CO-FINOP | 07/2022 | < 5% |
| FITTER, MITCHELL SCOTT | Individual | – | MUNICIPAL PRINCIPAL | 04/2023 | < 5% |