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AEGIS FINANCIAL

OSHKOSH, WI · CRD 305030 · IAPD ↗ · aegis4me.com · 920-233-4650

$419.0MRegulatory AUM
6Advisory reps
13Employees
0Clients
0Planning clients
0Private funds
7States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
March 2026 — AEGIS FINANCIAL (OSHKOSH, WI) left the SEC roster (was $419.0M RAUM, 6 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
70
December 2025 — AEGIS FINANCIAL grew from 5 to 7 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
47
August 2025 — AEGIS FINANCIAL notice-filed in LA, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
December 2024 — AEGIS FINANCIAL notice-filed in AZ.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
28
May 2024 — AEGIS FINANCIAL changed its website from aegis4me.com to aegisforme.com.
Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
Marketing & brand
53
April 2024 — AEGIS FINANCIAL added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions

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