SourcingSourcing

GAGNON SECURITIES, LLC

C41
CRD 103727·SEC 801-64836·NEW YORK, NY
AUM
$529.7M
$500M-$1B
Est. Revenue
$5.3M
@ 1% on AUM
Est. EBITDA
$1.6M
@ 30% margin
Est. Deal Value
$12.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
GAGNON SECURITIES, LLC
CRD
103727
SEC file #
801-64836
EIN
—
DBA names
Gagnon Securities, Llc

Economics

AUM
$529.7M
AUM band
$500M-$1B
AUM trajectory
'20'26
$340.4M → $529.7M▲ +56%
Client mix
Individuals Other1,025
Corporations144
Individuals High Net Worth33

Operations

Employees (total)
19
Advisory staff (per ADV)
10
Advisory staff (5-yr trend)
'20'26
14 advisors → 10 advisors▼ -29%
Primary office
NEW YORK NY
Branches
Count3

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — individuals
Fee basis
% of AUMCommissions

Filings

Compliance

Disclosures (firm)
3
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
GAGNON, NEIL JOSEPH
Top Owner Pct
37.5
Top Owner Entity Kind
I
Owner Count
19
Control Persons
GAGNON, NEIL JOSEPH
DREW, MAUREEN ONEILL
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:linkedin.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
1
Form 5500 Total Participants
20
Form 5500 Compensation Trajectory 3y
20240
Form 5500 Plan Count Trajectory 3y
20241
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0001070170
Edgar Registered
Yes
Edgar Filing Count
526
Edgar First Filing Date
1998-09-14
Edgar Last Filing Date
2025-03-12
Edgar 13f Count
2
Edgar 13f Latest AUM Estimate
Filing Date2001-02-22
Accession0000891554-01-501111

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.5017
Soi Zip Pct 200k Plus
0.2693
Soi Zip Returns 200k Plus
7,300
Soi Zip Total AGI
8,892,594
Census Median Hh Income
113,335
Census High Income Households
8,479
Census Median Age
41.4
Census Pop 65 66 Total
1,116
Census Total Households
26,297
Census NAICS 523930 Count
50

Compliance & brand

Firm Registration Status
active

All other collected signals (21)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
19
Bc Firm Active IA Count
19
Bc Firm IAR Count
19
Census Bachelors Plus Count
15,840
Census Median Home Value
958,800
Census NAICS 523930 Employees
0
Census Unemployed Count
1,706
Census Zip
10019
Custodian Candidates
Full
E*trade4
Fidelity2
Edgar Addresses
Mailing
1370 AVENUE OF THE AMERICAS26TH FLOORNEW YORK, NY 10019
Edgar Recent Filings
SCHEDULE 13G2025-03-12 · 0001019056-25-000147
SCHEDULE 13G2025-03-10 · 0001019056-25-000128
Firm Has Custody
No
Mailing Office Differs
No
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI49,095
Returns4,370
Stub 2
AGI119,712
Returns3,210
Stub 3
AGI195,396
Returns3,130
Soi Zip Total Business Income
262,643
Soi Zip Total Cap Gains
2,716,588
Soi Zip Total Dividends
524,504
Soi Zip Total Returns
27,110
Trust Company Affiliate
No

People (19)

19
TAYLOR, WILLIS, GITT
IAR · Direct Owner · 17.5%
4321965
D'ALESSANDRO, MARIANNE
IAR · Executive Officer · 2.5%
5019195
ROBOHM, JONATHAN, WILLIAMS
IAR · Executive Officer · 2.5%
2933186
CAPPELLO, JAMES MATTHEW
IAR · Executive Officer · 2.5%
4124259
JILLA, SARAH G
IAR · Executive Officer · 2.5%
6239295
BEINSTEIN, HENRY CARL
IAR · Executive Officer · 2.5%
4584546
TRANCHIDA, ALISON, O'BRIEN
IAR · Executive Officer · 2.5%
4345426
GAROFALO, ADRIENNE MICHELLE
IAR · Executive Officer · 2.5%
2383265
JAMPOLE, MATTHEW HOWARD
IAR · Executive Officer · 2.5%
3272478
VINGIELLO, JESSICA ROSE
IAR · Executive Officer · 2.5%
7178104
ROSENFELD, GABRIELLE
IAR · Executive Officer · 2.5%
7157921
COLBY, JAMES
IAR · Executive Officer · 2.5%
6321555
FERRANTE, LISA, CATHERINE
IAR · Executive Officer · 2.5%
3135415
ROBERTS, CYNTHIA ANDREA
IAR · Executive Officer · 2.5%
2818779
GAGNON, BRIAN, JOSEPH
IAR
1809872
LEE, DWIGHT, EISENHOWER
IAR
305203
DREW, MAUREEN, ONEILL
IAR
2702645
Edward Francis Alf
IAR
8152346
GAGNON, NEIL, JOSEPH
IAR
216440