Aegis Capital Corporation

What Aegis Capital Corporation does

Aegis Capital Corporation is a privately-held, full-service retail and institutional broker-dealer founded in 1984 and headquartered at 1345 Avenue of the Americas in New York City. The firm operates through 400+ financial professionals across 21 U.S. branch offices spanning the Northeast, Southeast, West Coast, Southwest, Pacific Northwest, and Mid-Atlantic. It is a member of FINRA and SIPC, with clearing and custodial arrangements provided by RBC Clearing & Custody (Royal Bank of Canada) and Axos Clearing LLC. The firm is led by CEO and Chairman Robert J. Eide, with Roy Graydon as President and a bench of division heads across equity capital markets, investment banking, business development, and private equity.

The firm delivers twelve integrated service lines organized around two core franchises: (1) wealth management and retail advisory — including personalized financial planning, retirement planning, insurance distribution through affiliated ACC General Agency, alternative products, structured products, and fixed income sales and trading; and (2) investment banking and capital markets — including equity financing, debt financing, private placements, IPO underwriting, registered direct offerings, secondary transactions, and equity research. Supporting vehicles include SternAegis Ventures (private equity/venture financing) and Aegis Special Situations Fund LLC (mid- to late-stage pre-IPO investments). The Institutional & Corporate Investment Group (ICIG) bundles lending, corporate cash management, and advisory for corporate clients and executives.

Aegis monetizes through three primary streams: capital markets transaction fees (placement agent, bookrunner, co-manager, and sales agent commissions typically ranging 3–10% of gross proceeds), recurring wealth management and advisory fees, and insurance product distribution commissions. GTM is direct field sales through licensed advisors and investment bankers, supported by a corporate website, press wire distribution, social media, and industry events. Recent 2026 capital markets activity includes co-manager on the $5.0 billion Pershing Square USA IPO, exclusive placements for Cyngn ($9.65M registered direct), ESS Tech ($15M registered direct), Sunshine Biopharma (~$18M public offering), Estrella Immunopharma ($8M), ParaZero ($4M), Polyrizon ($3.5M), Focus Universal ($4M), DSS ($1M), Abits Group ($2.1M), Apptronik ($4.2M secondary), and Perplexity AI ($15M secondary). The firm is not a technology company — there is no proprietary platform, API, or SDK — and no AI/ML capability is described.

Name

Aegis Capital Corporation

Legal name

Aegis Capital Corporation

Website

https://aegiscapcorp.com

Company type

Private

Founded year

1984

Operating status

Operating

Headcount range

251–500 employees

Short description

Aegis Capital Corporation is a privately-held, full-service retail and institutional broker-dealer founded in 1984, headquartered in New York, serving high-net-worth individuals, corporate issuers, and institutional investors across 21 U.S. offices with 400+ financial professionals.

Ownership category

akta.pro rank

Product category

Broker-Dealer and Investment Banking Services

NAICS

Securities, Commodity Contracts, and Other Financial Investments and Related Activities (523), Portfolio Management and Investment Advice (523940)

SIC

Security Brokers, Dealers & Flotation Companies (6211)

akta.pro primary industry

Capital Raising Advisory (Debt/Equity/Private Capital) (BPAHADAG)

akta.pro secondary industries

Capital Markets Advisory (IPO Readiness, SPAC, ECM/DCM Advisory) (BPAHAOAL), Capital Raising Advisory (Equity & Equity-Linked) (FSAEAGAC)

Keywords

• Investment banking services
• Wealth management services
• Capital markets transactions
• Private equity financing
• Retirement planning services

Headquarters

HQ city

New York

HQ country

United States

HQ region

North America

Offices21 records

Markets served

GTM type

B2B and B2C

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales, Technology or R&D, Infrastructure, Others

Revenue model

1. Capital Markets Transaction Fees: Aegis Capital generates revenue through fees earned as placement agent, bookrunner, co-manager, and sales agent on equity offerings, private placements, registered direct offerings, and IPOs for corporate clients. The firm earns commissions typically ranging from 3-10% of gross proceeds depending on transaction type and structure.
2. Wealth Management and Advisory Fees: Revenue from providing financial advisory, wealth management, and investment advisory services to private clients, including portfolio management fees, advisory fees, and commissions on securities transactions.
3. Insurance Products: Revenue generated through insurance product distribution made available through ACC General Agency, a licensed insurance agency affiliated with the firm.

Pricing tiers

Go-to-market motion1 record

Distribution channels3 records

Marketing channels4 records

Core offering

Aegis Capital Corporation is a privately-held, full-service retail and institutional broker-dealer providing investment banking (equity financing, debt financing, private equity/venture capital through SternAegis Ventures), wealth management and financial advisory, institutional sales and trading, equity research, fixed income trading, retirement planning, insurance, structured products, alternative investments, and special purpose vehicles for pre-IPO investing. The firm holds FINRA and SIPC memberships and clears trades through RBC and Axos, serving both corporate issuers and private wealth clients across 21 U.S. offices.

Product overview

Aegis Capital Corp. offers a unified full-service wealth management and investment banking platform with twelve integrated service lines. The core wealth management division provides personalized financial advisory, retirement planning, and insurance services, while the investment banking arm delivers equity financing, debt financing, and private equity through SternAegis Ventures. Supporting services include equity research, institutional trading, fixed income trading, alternative investments, structured products, and special purpose vehicles for pre-IPO investments. The Institutional & Corporate Investment Group (ICIG) serves as an umbrella for corporate clients needing lending, cash management, and advisory services. All services are delivered through a conflict-free platform with clearing relationships at RBC and Axos.

Differentiator

Problem solved

Functional benefit

Brands

• SternAegis Ventures: The management team within Aegis Capital Corp. responsible for venture capital and private equity financing, committed to identifying and financing ventures that can potentially realize above-average returns.
• Aegis Special Situations Fund LLC

Products and services

• Wealth Management
• Investment Banking
• Equity Research
• Institutional Sales and Trading
• Retirement Planning
• SternAegis Ventures (Private Equity)
• Fixed Income
• Insurance
• Alternative Products
• Structured Products
• Aegis Special Situations Fund (Special Purpose Vehicles)
• Institutional & Corporate Investment Group (ICIG)

Segments3 records

Ideal customer profiles3 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Partnerships

One partnership is on record.

• ACC General AgencyminorOthersLicensed insurance agency through which insurance products are made available to Aegis clients. Insurance products are offered separately from securities and investment advisory services.

Scale indicators3 records

Recent moves8 records

Expansion highlights5 records

Direct peers

• B. Riley Financial: Public diversified broker-dealer combining wealth management, investment banking (especially small/mid-cap ECM), and capital markets. Closest public comp for Aegis's mid-market broker-dealer model.
• Roth Capital Partners: Private broker-dealer focused on small and micro-cap investment banking and research, with institutional sales and trading and wealth management. Direct mid-market ECM and wealth comp.
• Maxim Group: Mid-market broker-dealer offering investment banking, institutional sales and trading, equity research and wealth management. Closely aligned ECM-focused private peer.
• EF Hutton: Full-service mid-market broker-dealer providing investment banking, capital markets, institutional trading and wealth management. Comparable private peer in size and service mix.
• The Benchmark Company: Private mid-market broker-dealer with investment banking, institutional equities, equity research and wealth management, focused on small and micro-cap issuers. Direct ECM peer.
• Lake Street Capital Markets: Mid-market broker-dealer focused on small/mid-cap investment banking, institutional research and sales trading, with a wealth management arm. Comparable peer.
• D. Boral Capital: Private broker-dealer specializing in capital markets advisory, ECM placements and investment banking for small and mid-cap issuers. Directly comparable placement-agent business.
• Ladenburg Thalmann: Former public mid-market broker-dealer (now part of Advisor Group) combining wealth management, investment banking and capital markets. Comparable full-service mid-market model.
• Taglich Brothers: Private mid-market broker-dealer founded by the Taglich brothers now joining Aegis; provides investment banking, institutional research and equity placement for small/micro-cap issuers. Highly comparable in niche focus.

Broad incumbents

• Oppenheimer & Co. Subsidiary of Invesco's OppenheimerFunds legacy, large full-service broker-dealer offering wealth management, investment banking, institutional equities and research. Larger-scale incumbent with overlapping offerings.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat4 records

Key risks6 records

Key highlights6 records

Customer concentration

• Xx.com/AegisCapCorp
• Facebookfacebook.com/Aegis-Capital-Corp-199310583554678
• LinkedInlinkedin.com/company/aegis-capital-corp
• Instagraminstagram.com/aegiscapcorp

Revenue estimate

Valuation estimate

Number of profiles

Profiles14 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments3 records

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Aegis Capital Corporation