SEC-Registered Investment Adviser
Aegis Capital Corp.
Registration facts are from the firm's Form ADV Part 1A as published by the SEC, latest filing dated August 25, 2026. Figures are firm-level: they describe the advisory firm, not any single offering.
Registration
- Status
- Approved
- Registered since
- May 10, 2010
- Principal office
- 1345 Avenue Of The Americas, 27th Floor, New York, NY 10105
- Organized as
- Corporation, NY
- Fiscal year end
- November
- Other offices
- 18
Scale
- Regulatory AUM
- $1.8B
- Discretionary / non-discretionary
- $124.8M / $1.7B
- Attributable to non-US clients
- $7.9M
- Accounts
- 4,218
- Clients
- 0
- Employees
- 260, 92 in advisory roles
- Private funds advised
- 32
- Private fund gross assets
- $269.4M
- Fund types
- 32 private equity funds
- Funds with Form D records
- 4 issuers in AltStreet's ledger, $22.2M reported sold across them
Business, clients and compensation, as filed
- Advisory activities
- financial planning, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients and selection of other advisers
- Compensated by
- a percentage of assets under management and hourly charges
- Client types
- individuals (other than high net worth) (1,914); high net worth individuals (1,116); pooled investment vehicles (32); corporations or other businesses (21)
- Also engaged as
- broker-dealer and insurance broker or agent
- Related persons include
- a broker-dealer, a lawyer or law firm, an insurance company or agency and a sponsor, general partner or managing member of pooled investment vehicles
Form ADV Item 11 disclosures
The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.
- SEC or CFTC finding of a violation of regulations or statutes (Item 11C(2), 2 reported)
- SEC or CFTC order against the firm or an affiliate (Item 11C(4), 2 reported)
- SEC or CFTC civil money penalty or cease-and-desist (Item 11C(5), 2 reported)
- other regulator finding of a violation (Item 11D(2), 3 reported)
- other regulator order, denial, suspension or revocation (Item 11D(4), 3 reported)
- self-regulatory organization finding of a violation (Item 11E(2), 22 reported)
- self-regulatory organization finding of a cause of a suspension or revocation (Item 11E(3))
- unsatisfied judgment or lien (Item 11G)
Is this your firm? Verified Profiles give managers a structured channel for corrections, additional disclosures, and right of reply, without changing AltStreet's independent research. Learn about verification →
Source: SEC Form ADV via IARD (roster of October 6, 2026), matched to the platform by AltStreet analysts. Item 11 answers are as reported on the firm's Form ADV and cover the firm and its advisory affiliates; consult the firm's IAPD record for the Disclosure Reporting Pages. Brochure statements are the firm's own. Nothing on this page is investment advice.