Aegis Capital Corp.

Aegis Capital Corp. provides investment advisory and related financial services to a mix of individual (both non‑HNW and high‑net‑worth) and corporate clients, offering asset management, financial planning, brokerage, annuities, insurance and occasional investment banking services. The firm is dually registered as an SEC investment adviser and a FINRA member broker‑dealer and makes advisory services available through multiple sponsored programs and third‑party platforms.

Adviser relationships may be discretionary or non‑discretionary, with clients able to participate in programs such as uMAS, UMA and third‑party consulting solutions, and the firm documents client profiles and conducts periodic portfolio reviews (generally semi‑annually). Unusually for an enterprise firm, most of Aegis’s reported assets under management are handled on a non‑discretionary basis, so advisers commonly provide recommendations that clients must approve before trades are executed.

Aegis is notable among peers for its active broker‑dealer operations and related revenue sources — including transaction charges, payment‑for‑order‑flow arrangements and sweep rebates — and for having a disclosed related law firm; those affiliations are identified in the brochure and are subject to the firm’s conflict‑management policies. The firm primarily charges percentage‑of‑AUM advisory fees rather than flat fixed fees and discloses a history of regulatory actions and settlements that prospective clients may wish to review.