William Moening is a CFP-designated registered investment advisor at Aegis Capital CORP., based in New York, NY, with 27 years of industry experience. William operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 3,083 clients with $1.8B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Aegis Capital Corp. charges a fee based on a percentage of the assets they manage for you.
If most transaction costs are charged to you:
- First $250,000 - maximum 2.50% per year
- Next $750,000 - maximum 2.25% per year
- Over $1,000,000 - maximum 2.00% per year
If most transaction costs are charged to Aegis:
- First $250,000 - maximum 3.00% per year
- Next $750,000 - maximum 2.75% per year
- Over $1,000,000 - maximum 2.50% per year
The fee can be charged in one of three ways: Floating Rate, Incremental Rate, or Fixed Rate, as specified in your client agreement. The amount of the fee may be negotiable.
Location
1345 Avenue of the Americas, 27th Floor, New York, NY, 10105
Get directionsHistory
Regulatory History (3)
Employment Separation After Allegations
March 2025Employment Separation After Allegations
December 2023Customer Dispute
December 2022Other Business Activities
William is a board member of Mainspring Schools, a non-profit organization, since 2025. He dedicates minimal time to this activity.
Employment History
Current Registrations
Aegis Capital CORP.
Previous Registrations
Aegis Capital CORP.
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Banc of America Investment Services, INC.Broker
State Registrations1 state
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.