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CFP
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CFP

Clayton Shum

Aegis Capital CORP.
20 Years of Experience
Burlingame, CA
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Clayton Shum is a CFP-designated registered investment advisor at Aegis Capital CORP., based in Burlingame, CA, with 20 years of industry experience. Clayton 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

Burlingame, CA

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History

Regulatory History (3)
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.
Employment Separation After Allegations
January 2023
Customer Dispute
February 2006
Settled
Employment Separation After Allegations
April 2004
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Clayton is a notary for business convenience and owns personal rental property. He is also an agent/producer for ACC Agency Inc., a general insurance agency, spending a few hours per week on this investment-related activity.

Employment History
Current Registrations
Aegis Capital CORP.
February 2023 - Present · 3 yrs 8 mos
Aegis Capital CORP.Broker
February 2023 - Present · 3 yrs 8 mos
Aegis Capital CORP.
February 2023 - Present · 3 yrs 8 mos
Previous Registrations
Grove Point Advisors, LLC
April 2021 - January 2023 · 1 yr 9 mos
Grove Point Investments, LLCBroker
December 2020 - January 2023 · 2 yrs 1 mo
H. Beck, INC.
December 2020 - April 2021 · 4 mos
USA Financial Securities Corporation
December 2009 - December 2020 · 11 yrs
USA Financial Securities CorporationBroker
September 2009 - December 2020 · 11 yrs 3 mos
First Midwest Securities, INC.Broker
June 2004 - April 2006 · 1 yr 10 mos
Nylife Securities INC.Broker
July 2003 - May 2004 · 10 mos
Northwestern Mutual Investment Services, LLCBroker
May 2002 - July 2003 · 1 yr 2 mos
State Registrations6 states
AZCAFLHITXWA
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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