Aegis Capital Corp.

Aegis Capital Corp. is a financial advisor firm established in 1984, offering investment advisory services, annuities, insurance, stocks, bonds, mutual funds, and investment banking. The firm manages approximately $1.28 billion in assets for around 2,479 clients, with $391 million managed on a discretionary basis and $890 million on a non-discretionary basis. Aegis provides both discretionary and non-discretionary accounts, allowing clients to grant authority for portfolio management decisions. The firm's investment strategies include growth, value, equity, income-oriented investing, and balanced investing, tailored to each client's risk tolerance and objectives. Clients do not have a minimum account size requirement to participate in the program. Aegis uses its affiliated broker-dealer, RBC/AXOS, for trade execution, clearing, settlement, and custody services. The firm charges fees based on a percentage of assets under management, with maximum rates of 2.50% for the first $250,000 of assets. Aegis does not charge performance-based fees and does not vote proxies on behalf of clients. Clients receive periodic account reviews and reports, and the firm does not accept referral fees from other professionals. Aegis does not vote proxies on securities on behalf of clients.