Aegis Capital Corp. (New York)

Name: Aegis Capital Corp.
Address: 810 7 Th Ave., New York, NY, 10019
Telephone: 212-813-1010

Aegis Capital Corp. is a large advisory firm based in New York. It manages $542.55 million of regulatory assets for 1,542 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

Aegis Capital Corp provides portfolio management for individuals and small businesses and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Aegis Capital Corp: assets under management

The assets under management (AUM) of Aegis Capital Corp. is $542.55 million. The firm's AUM has grown by 1450% since the beginning of its operation, and $21.34 million of the total AUM is attributable to clients outside of the United States.

The firm manages $47.72 million in discretionary accounts and $494.83 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $284.05 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $360.14 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 74% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 8% of the firm’s portfolio. Investments in state and local bonds form 8% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Aegis Capital Corp. for their services and products based on a percentage of assets under management and commissions. Commissions are paid and earned by the adviser when a trade or a sales of an investment is made. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Mark Harry Goldwasser serves?

The firm provides services to individuals and corporations or other businesses. The largest group of clients of Mark Harry Goldwasser is individuals with 1,511 clients and $516.45 million of assets under management. Among the 10 most similar advisory firms, Aegis Capital Corp has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $542.55 million for 1,542 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 4% of the firm’s clients are foreign persons or businesses.

Aegis Capital Corp also advises several private funds. Namely, five private equity funds. The minimum investment commitment required of non-related persons is $100,000 for each fund.

Careers at Aegis Capital Corp.

The company employs 61 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 7 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Mark Harry Goldwasser has been acting as President since 1 Aug 2017. Antony Carmine Naccarelli joined the executive team most recently as the Chief Compliance Officer (Interim).

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Robert Jay Eide	Ceo, secretary, clo, director	1 Jan 1984	Other	1015261
Aegis Capital Holding Corp.	Holding company	1 May 1992	75% - 100%	11-3061778
Charles David Smulevitz	Chief compliance officer, rosfp	1 Jun 2009	Other	5099387
Thomas Champney Poss	Chief financial officer	1 Jul 2009	Other	2547521
George Gregory Kott	Chief operating officer	1 Aug 2009	Other	2876578
Kevin Charles Mckenna	Chief compliance officer	1 Jun 2010	Other	1343870
Kevin Charles Mckenna	Municipal principal	1 Feb 2013	Other	1343870
Samuel Anthony Iii Guidetti	Chief compliance officer	1 Jun 2013	Other	1834494
Anthony Michael Sr Monaco	Municipal principal	1 Oct 2014	Other	1869532
Kevin Charles Mckenna	Chief compliance officer	1 Oct 2014	Other	1343870
Eugene William Terracciano	Chief compliance officer	1 Oct 2014	Other	1829676
Gerald Martin Heilpern	Municipal principal	1 May 2015	Other	241803
Eugene William Terracciano	Senior vp, chief compliance officer	1 Jun 2015	Other	1829676
Nils Alexander Ericson	Chief compliance officer, amlcco, rop	1 Sep 2015	Other	1022814
Antony Carmine Naccarelli	Amlco	1 Apr 2016	Other	1412706
David Stanley Hentschel	Chief compliance officer	1 Oct 2016	Other	4308549
Teresa Watkins Douberly	Registered options principal	1 Nov 2016	Other	2477566
Mark Harry Goldwasser	President	1 Aug 2017	Other	1334008
Eric Newman	Chief supervisory officer	1 Dec 2017	Other	2509259
Anthony Guglielmo	Municipal principal	1 Feb 2019	Other	1391306
Antony Carmine Naccarelli	Chief compliance officer (interim)	1 Jul 2019	Other	1412706

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Robert Jay Eide	Shareholder	1 May 1992	75% - 100%	1015261

Based in New York

The principal office where Aegis Capital Corp. performs its advisory services is located at 810 7 Th Ave., New York, NY 10019, which is also the mailing address of the firm. An additional office of the firm is in Rochester, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-813-1010 or by fax 212-813-1047. The normal business hours are 9-5 on Monday - Friday. You can find more information about the New York firm at aegiscapcorp.com and its LinkedIn profile.