SourcingSourcing

AEGIS CAPITAL CORP.

C40
CRD 15007·SEC 801-71386·NEW YORK, NY
AUM
$1.78B
$1B+
Est. Revenue
$17.8M
@ 1% on AUM
Est. EBITDA
$5.3M
@ 30% margin
Est. Deal Value
$42.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
AEGIS CAPITAL CORP.
CRD
15007
SEC file #
801-71386
EIN
823770020
DBA names
—

Economics

AUM
$1.78B
AUM band
$1B+
AUM trajectory
'20'26
$542.5M → $1.78B▲ +228%
Client mix
Individuals Other1,914
Individuals High Net Worth1,116
Pooled Investment Vehicles32
Corporations21

Operations

Employees (total)
260
Advisory staff (per ADV)
92
Advisory staff (5-yr trend)
'20'26
61 advisors → 92 advisors▲ +51%
Primary office
NEW YORK NY
Branches
—

Custodian & Brokerage

Primary custodian
Axos Advisor Serviceslow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — pooled vehiclesPortfolio mgmt — businesses
Fee basis
% of AUMHourly charges

Filings

Latest ADV filing
02/26/2026
ADV-W filed at
—
Website
aegiscapcorp.com

Compliance

Disclosures (firm)
7
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
AEGIS CAPITAL HOLDING CORP.
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
7
Control Persons
AEGIS CAPITAL HOLDING CORP.
EIDE, ROBERT JAY
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
AEGISCAPCORP.COM
Rdap Domain Creation Date
2005-02-08T21:39:04Z
Rdap Firm Age Years
21
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Compensation Trajectory 3y
20250
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0001726682
Edgar Registered
Yes
Edgar Filing Count
1
Edgar First Filing Date
2018-01-23
Edgar Last Filing Date
2018-01-23
Edgar Form D Count
1
Edgar Form D Offerings
2018-01-232018-01-23 · 0001726682-18-000001

Compliance & brand

Firm Registration Status
active

All other collected signals (16)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
50
Bc Firm Active IA Count
9
Bc Firm IAR Count
50
Custodian Candidates
Full
Axos Advisor Services25
E*trade5
Edgar Addresses
Mailing
810 SEVENTH AVENUE18TH FLOORNEW YORK, NY 10019
Business
810 SEVENTH AVENUE18TH FLOORNEW YORK, NY 10019
Edgar EIN
823770020
Edgar Recent Filings
D2018-01-23 · 0001726682-18-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-02-08T21:39:04Z
Rdap Domain Last Changed
2022-05-19T16:37:08Z
Rdap Nameservers
Ns14.wixdns.netNs15.wixdns.net
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Trust Company Affiliate
No

People (55)

55
MCKENNA, FRANCIS J
IAR · Executive Officer · 2.5%
4825383
ROBERT JAY EIDE
Executive Officer · 2.5%
1015261
GEORGE GREGORY KOTT
Executive Officer · 2.5%
2876578
ROBERT STEVEN FEINMAN
Executive Officer · 2.5%
205708
JOHN STEVENSON MILLER
Executive Officer · 2.5%
2139980
THOMAS CHAMPNEY POSS
Executive Officer · 2.5%
2547521
MARCELLA MARIA LAPADULA
IAR
4700542
Kendra Jo Panfil
IAR
7648445
Arie Aaron Nouriely
IAR
7028899
LUIGI PESCE
IAR
4698542
GIUSEPPE ZAAMI
IAR
4742324
KRISTINE M SOTO
IAR
5068544
KENNETH ELIOT REHFIELD
IAR
2121395
SALVATORE JOSEPH DIPRIMA
IAR
2783558
JAMES ROBERT BRENNAN
IAR
1302485
TASHA LAFERN FAJARDO
IAR
3185473
RICHARD ROCCO PALMADESSO
IAR
3237044
Anthony J Caputo
IAR
7691757
Viren D. Desai
IAR
7580875
Robert Scott Pekowitz
IAR
4854566
Jayden Anthony Natoo
IAR
8012482
WILLIAM MILES SHADEK
IAR
7163816
Kurt Jay Reyes-Cedo
IAR
7812151
ANNE D DESOUSA
IAR
6490568
Joseph Peter Perricone
IAR
8028750
CHRISTINA LYNN WIEGE
IAR
4070400
COLIN GUY MCCARTHY
IAR
4441003
TERESSA LYNN FIORUCCI-ALVIZ
IAR
4738286
JACK EVAN LANG
IAR
6894808
JARED DAVID SHARFMAN
IAR
2771246
BRENDAN CHRISTOPHER SMITH
IAR
2822223
Mauricio Renato Flores Cruz
IAR
7498844
Alexander Seth Hagler
IAR
7930797
Scott Boehm
IAR
7442423
SCOTT EDWARD LANDREM
IAR
2678840
ELLIOT HOUGH SHERER
IAR
2719671
Antonino Tantillo
IAR
8081514
EDWARD THOMAS SHADEK
IAR
7044784
Harrison Luke Humphrey
IAR
7936996
James Christopher Udasco
IAR
7811609
ROCCO J. LAFARO
IAR
5583228
FRANCIS J DEL TORTO
IAR
4266694
JOHN CHRISTIAN BAYNE-JARDINE
IAR
5208269
ANTHONY WILLIAM LAPADULA
IAR
2673373
BRYAN RODRIGUEZ
IAR
4179019
ANDREW PETERS
IAR
5348622
CELES AGATHA WALTERS
IAR
4756413
Matthew Joseph Kelly
IAR
7811832
VICTORIA YI
IAR
2816290
BRENDAN JAMES BOGART
IAR
2107354
GHAZALEH KAYVAN EBRAHIMI
IAR
2873246
Nadav Livni
IAR
7742651
Jason Antonio Garcia
IAR
7743539
FRANK GIACALONE
IAR
4314174
Dilnaman Singh Sachdeva
IAR
6923771