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David Perez

Aegis Capital CORP.
23 Years of Experience
New York, NY
3 DisclosuresBroker
View SEC Summary
View SEC Summary

David Perez is a registered investment advisor at Aegis Capital CORP., based in New York, NY, with 23 years of industry experience. David 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

New York, NY

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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.
Financial
June 2017
Final
Customer Dispute
October 2014
Closed-No Action
Customer Dispute
November 2013
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Aegis Capital CORP.
January 2023 - Present · 3 yrs 9 mos
Aegis Capital CORP.
January 2023 - Present · 3 yrs 9 mos
Aegis Capital CORP.Broker
January 2023 - Present · 3 yrs 9 mos
Previous Registrations
Joseph Gunnar & CO. LLCBroker
November 2019 - August 2022 · 2 yrs 9 mos
Aegis Capital CORP.Broker
March 2010 - November 2019 · 9 yrs 8 mos
Gunnallen Financial, INCBroker
March 2009 - March 2010 · 1 yr
Next Financial Group, INC.Broker
February 2009 - March 2009 · 1 mo
Maxim Group LLCBroker
September 2005 - February 2009 · 3 yrs 5 mos
First Montauk Securities CORP.Broker
April 2005 - September 2005 · 5 mos
Maxim Group LLCBroker
May 2003 - May 2005 · 2 yrs
S.W. Bach & CompanyBroker
February 2003 - May 2003 · 3 mos
Maxim Group LLCBroker
October 2002 - March 2003 · 5 mos
Investec Ernst & CompanyBroker
September 2002 - October 2002 · 1 mo
Ladenburg Capital Management INC.Broker
March 2002 - July 2002 · 4 mos
Ladenburg, Thalmann & CO., INC.Broker
August 2001 - March 2002 · 7 mos
State Registrations13 states
AZCACOCTFLMDMNNJNVNYOHSCTX
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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