AEGIS CAPITAL, LLC
CRD #125376 SEC #801-63063 CHARLOTTE, NC 704-895-6133
SEC Registered
Total AUM
$165M
Discretionary
$165M
Employees
11
Clients
0
Accounts
1,540
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- North Carolina
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Dec 22, 2011
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BLAU, ERIC, CHARLES | I | CHIEF INVESTMENT OFFICER | NA | Control |
| BLAU, ERIC, CHARLES | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CHURCH, BRIAN, TIMOTHY | I | NATIONAL SALES DIRECTOR | NA | |
| CHURCH, BRIAN, TIMOTHY | I | NATIONAL SALES DIRECTOR | NA | |
| LAKIAN, JOHN, ROBIN | I | DIRECTOR | NA | Control |
| LAKIAN, JOHN, ROBIN | I | DIRECTOR | NA | Control |
| LAMM, DIANE, WILSON | I | CHIEF OPERATING OFFICER | NA | Control |
| LAMM, DIANE, WILSON | I | CHIEF OPERATING OFFICER | NA | Control |
| LAMM, DIANE, WILSON | I | CHIEF OPERATING OFFICER | NA | Control |
| LAMM, DIANE, WILSON | I | CHIEF OPERATING OFFICER | NA | Control |
| LAMM, DIANE, WILSON | I | CHIEF OPERATING OFFICER | NA | Control |
| LAMM, DIANE, WILSON | I | CHIEF OPERATING OFFICER | NA | Control |
| NORTON, JOSEPH, WESTON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NORTON, JOSEPH, WESTON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NORTON, JOSEPH, WESTON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NORTON, STEPHEN, DOUGLAS | I | MARKETING | NA | Control |
| NORTON, STEPHEN, DOUGLAS | I | MARKETING | NA | Control |
| OSUNKWO, DAVID, IJEOMA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| OSUNKWO, DAVID, IJEOMA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ROE, PETER, TOMLINSON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ROE, PETER, TOMLINSON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ROE, PETER, TOMLINSON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOREY, MARY, ELLEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TURNER, DOUGLAS, STUART | I | SENIOR PORTFOLIO MANAGER | NA | Control |
| TURNER, DOUGLAS, STUART | I | SENIOR PORTFOLIO MANAGER | NA | Control |
| DARBY, ALLEN, MYLES | I | MANAGING MEMBER | E | Control |
| DARBY, ALLEN, MYLES | I | MANAGING MEMBER | E | Control |
| DARBY, ALLEN, MYLES | I | MANAGING MEMBER | E | Control |
| DARBY, ALLEN, MYLES | I | MANAGING MEMBER/ CHIEF COMPLIANCE OFFICER | E | Control |
| DARBY, ALLEN, MYLES | I | MANAGING MEMBER/ CHIEF COMPLIANCE OFFICER | E | Control |
| LAKIAN, JOHN, ROBIN | I | DIRECTOR | E | Control |
| LAKIAN, JOHN, ROBIN | I | DIRECTOR | E | Control |
| LAKIAN, JOHN, ROBIN | I | DIRECTOR | E | Control |
| LAKIAN, JOHN, ROBIN | I | DIRECTOR | E | Control |
| CAPITAL L GROUP, LLC | DE | OWNER | D | Control |
| CAPITAL L GROUP, LLC | DE | OWNER | D | Control |
| DARBY, ALLEN, MYLES | I | PRESIDENT | D | |
| DARBY, ALLEN, MYLES | I | PRESIDENT | D | |
| DARBY, ALLEN, MYLES | I | PRESIDENT | D | |
| CASS, MARTIN | I | MEMBER | C | |
| CASS, MARTIN | I | MEMBER | C | |
| MOFFETT, DONNA | I | SHAREHOLDER | C | Control |
| MONROE, KENNETH, DUNCAN | I | VICE PRESIDENT | C | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| PANGEA CAPITAL MANAGEMENT, LLC | DE | CAPITAL L GROUP, LLC | D | Control |
| PANGEA CAPITAL MANAGEMENT, LLC | DE | CAPITAL L GROUP, LLC | D | Control |
| LAKIAN, JOHN, ROBIN | I | PANGEA CAPITAL MANAGEMENT, LLC | C | Control |
| LAKIAN, JOHN, ROBIN | I | PANGEA CAPITAL MANAGEMENT, LLC | C | Control |
Registrations
Federal
IA
Dec 22, 2011 REGISTERED
Notice Filings (20)
AL AZ CT FL GA IL KS MA ME MI MO NC NE NH NJ NY SC TN TX VA
Address
1310 SOUTH TRYON STREETSUITE 105
CHARLOTTE, NC 28203
United States
Phone: 704-895-6133