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AEGIS CAPITAL CORP.

NEW YORK, NY · CRD 15007 · IAPD ↗ · 212-813-1010

$1.78BRegulatory AUM
92Advisory reps
260Employees
0Clients
26-50Planning clients
32Private funds
52States
36Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
March 2025 — AEGIS CAPITAL CORP.'s Item 11 disclosure-reporting entries rose by 1 (35 -> 36).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
63
March 2025 — AEGIS CAPITAL CORP. reports 26-50 financial-planning clients, up from 11-25.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
85
March 2025 — AEGIS CAPITAL CORP. grew from 63 to 90 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
March 2024 — AEGIS CAPITAL CORP.'s Item 11 disclosure-reporting entries rose by 1 (34 -> 35).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
March 2024 — AEGIS CAPITAL CORP. shrank from 76 to 63 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
55
March 2024 — AEGIS CAPITAL CORP. added office(s): 19 -> 20 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.