Aegis Financial
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Overview
Aegis Financial is a financial advisory firm that has its headquarters in Oshkosh, Wisconsin. It controls $306.2 million in assets over 1,528 client accounts, placing it in the mid-tier of firms in the country by assets under management (AUM). Aegis Financial has a small team, including 4 financial advisors. Aegis Financial does not act as a registered broker-dealer, meaning the advisor is not able to buy and sell securities for its clients' and own accounts and instead is required to go through a broker-dealer firm to do so. Securities are defined as tradable fiscal investments like bonds, options and stocks.
Aegis Financial oversees more than half of the firm's accounts in a discretionary manner. Discretionary management is a structure in which an investment advisor makes buy and sell judgments without needing client permission. The company also administers one non-discretionary accounts with a total of $1.2 million in AUM. Aegis Financial's average account size is $200,390. An average advisor at Aegis Financial manages around 382 client accounts.
The company's central office is at 530 N Koeller St, Oshkosh, Wisconsin 54902. The firm is registered to serve investors across 4 states, including Florida, Michigan, Minnesota and Wisconsin.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Aegis Financial by the Numbers
$306.2 million
14
1,528
$200.4 thousand
Products and Services
Aegis Financial offers multiple services, including financial planning services, portfolio management for individuals and small businesses and pension consulting services. In the past financial year, the firm provided 1-10 of its accounts with financial planning services. The firm is not engaged in selling products or offering services apart from investment advice to its investment advisory accounts. The company is affiliated with a number of other service providers in the financial services industry, including with an insurance company or agency.
Core Advisor Services
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Offered by 31% of firms
Financial Planning Services
This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.
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Offered by 46% of firms
Portfolio Management
This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.
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Market Timing Services
This is the practice of attempting to make short-term profits on investments by buying low and selling high.
Other Services
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Selection of Other Advisors
This is the firm's assistance with choosing other advisors to work with who may have different specialties.
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Publication of Periodicals
This is the publication of various financial education materials.
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Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Fee Structure
Fees charged by financial advisors typically depend on which services are offered. Fee types charged by the company most likely consist of the following fee types: asset-based, hourly or fixed. The company does not provide a wrap fee program, in which the company offers a bundle of services for a single fee.
Available
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Offered by 69% of firms
Percentage of Assets
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Offered by 21% of firms
Hourly
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Offered by 32% of firms
Fixed
Unavailable
Types of Clients
The company does business with a number of different investors. The company provides services to retail investors, high net worth investors, pension plans, charitable organizations and corporations. Out of its 1,528 accounts, Aegis Financial's largest client group by number of accounts is retail investors, though it also manages money for 35 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an individual who has at least $750,000 under management or a net worth of at least $1.50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's clients are from outside of the U.S.
- High-Net-Worth Individuals* - 6.68%
- Other Individuals - 92.18%
- Corporations - 0.95%
- Charitable Organizations - 0.19%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
Aegis Financial does not have any disclosures.
Please visit its Form ADV for more details.
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