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Adam Lorraine

Aegis Capital CORP.
32 Years of Experience
Lighthouse Point, FL
9 DisclosuresBroker
View SEC Summary
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Adam Lorraine is a registered investment advisor at Aegis Capital CORP., based in Lighthouse Point, FL, with 32 years of industry experience. Adam is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 3,083 clients with $1.8B in assets under management.

Aegis Capital CORP.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
99 advisors
Number of Clients
3,083 clients
Average Client Portfolio
$577K average
Assets Under Management
$1.8B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K2.50%
$250K - $1.0M2.25%
$1M+2.00%

Rates shown are the maximums when most transaction costs are charged to the client. If transaction costs are charged to Aegis Capital Corp., the maximum rates are 3.00% on the first $250k, 2.75% on the next $750k, and 2.50% over $1M. Fees may be negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Lighthouse Point, FL

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History

Regulatory History (9)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
May 2026
Judgment / Lien
May 2012
Customer Dispute
November 2006
Settled
Customer Dispute
September 2001
Denied
Customer Dispute
October 2000
Denied
Investigation
September 2000
Customer Dispute
June 2000
Settled
Criminal
August 1989
Final Disposition
Criminal
October 1983
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Adam is the CEO of Dynamic Capital Holding LLC, an entity providing quantitative technical analysis to institutions. He dedicates minimal time to this business.

Employment History
Current Registrations
Aegis Capital CORP.
October 2013 - Present · 13 yrs
Aegis Capital CORP.
October 2013 - Present · 13 yrs
Aegis Capital CORP.Broker
October 2013 - Present · 13 yrs
Previous Registrations
Revere Securities CORP.
January 2011 - October 2013 · 2 yrs 9 mos
Revere Securities CORP.Broker
January 2011 - October 2013 · 2 yrs 9 mos
Quad Capital, LLCBroker
July 2010 - November 2010 · 4 mos
National Asset Management, INC.
November 2007 - July 2010 · 2 yrs 8 mos
National Securities CorporationBroker
August 2007 - July 2010 · 2 yrs 11 mos
Newbridge Financial Services Group, INC.
December 2006 - August 2007 · 8 mos
Newbridge Securities CorporationBroker
August 2003 - August 2007 · 4 yrs
Westpark Capital, INC.Broker
June 2003 - September 2003 · 3 mos
Sterling Financial Investment Group, INC.Broker
July 2000 - June 2003 · 2 yrs 11 mos
Jwgenesis Securities, INC.Broker
January 1999 - July 2000 · 1 yr 6 mos
Gruntal & CO., L.L.C.Broker
March 1995 - December 1998 · 3 yrs 9 mos
PCM Securities Limited, L.P.Broker
March 1995 - March 1995 · 0 mos
Jw Charles Securities,inc.Broker
June 1994 - December 1994 · 6 mos
Chatfield Dean & CO., INC.Broker
December 1993 - June 1994 · 6 mos
State Registrations3 states
COFLNY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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