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| Aegis Capital Corp
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| CRD # | 15007 |
| SEC # | 801-71386 |
| CIK # | 0000743418 |
| AUM | $1.4 B (2025-05-16) |
| Employees | 270 (33% Investors, 100% Brokers) |
| Phone | 212-813-1010 |
| Address | 1345 Avenue of The Americas New York, NY 10105 |
| Source | [IAPD] [EDGAR] [Website] [LinkedIn] [Facebook] [Instagram] |
| Total AUM ($B) |
|---|
| Type | Form D Funds | Date | Sold ($M) | AUM ($M) |
|---|---|---|---|---|
| PE | Aegis Delivers Opportunity Fund LLC - Serve Robotics Series | [2024-02-29] | 4.9 | 4.9 |
| PE | Aegis Special Situations Fund LLC - Series Medtech Xi | [2024-02-29] | 5.7 | 5.6 |
| PE | Aegis Special Situations Fund LLC - Series Medtech XII | [2024-02-29] | 4.0 | 7.0 |
| PE | Aegis Special Situations Fund LLC - Series Medtech XIII | [2024-02-29] | 2.0 | 2.0 |
| PE | Aegis Special Situations QP Fund LLC - Series Medtech XIII | [2024-02-29] | 2.6 | 2.0 |
| PE | Aegis Special Situations Fund LLC - Series Aerospace III | [2023-02-27] | 11.0 | 13.7 |
| PE | Aegis Special Situations Fund LLC - Series Medtech IX | [2023-02-27] | 7.2 | 9.7 |
| PE | Aegis Special Situations Fund LLC - Series Medtech VII | [2023-02-27] | 4.3 | 4.3 |
| PE | Aegis Special Situations Fund LLC - Series Medtech VIII | [2023-02-27] | 3.8 | 4.2 |
| PE | Aegis Special Situations Fund LLC - Series Medtech X | [2023-02-27] | 2.9 | 6.2 |
| View All | ||||
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 1,274 | 0.4 |
| (b) Individuals (high net worth individuals) | 384 | 0.7 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 31 | 0.2 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 44 | 0.1 |
| (n) Other | 0 | 0.0 |
| Total | 2,760 | 1.4 |
| By Discretionary | ||
| Discretionary | 1,030 | 0.6 |
| Non-Discretionary | 1,730 | 0.8 |
| Total | 2,760 | 1.4 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 1.4 | |
| Total | 2,760 | 1.4 |
| Limited Partners | 2011 - 2025 |
|---|---|
| New York State and Local Retirement System |
| Form D Directors | # Filings | # Firms | 2011 - 2025 | |
|---|---|---|---|---|
| Adam Stern | 113 | |||
| Mark Goldwasser | 43 | |||
| Aegis Special Situations Management LLC | 50 | |||
| Cassel Shapiro | 50 | |||
| Aegis Capital Holding Corp | 50 | |||
| Aegis Capital Corp | 47 | |||
| Cosme Ordonez | 11 | |||
| Robert Eide | 5 | |||
| Tech Insight Management LLC | 3 | |||
| Aegis Capital Holdings Corp | 3 | |||
| View All | ||||
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|---|---|---|
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Palisades Hudson Asset Management LP
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FL | 1.7 |
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Operose Advisors LLC
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WI | 1.6 |
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Tailwind Advisors LLC
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TX | 1.6 |
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Parabellum Capital LLC
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NY | 1.5 |
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Curated Wealth Partners LLC
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CA | 1.4 |
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McDonald Partners LLC
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OH | 1.3 |
|
Sargent Investment Group LLC
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MD | 1.3 |
|
Marble Harbor Investment Counsel LLC
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|
MA | 1.3 |
|
Florence Capital Advisors LP
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|
1.3 | |
|
Newport Capital Group LLC
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|
NJ | 1.2 |