Austin, TX Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Aegis Capital Corp.
Multi-team
Firm-wide stats for Aegis Capital Corp.
About
Aegis Capital Corp. provides investment advisory and related financial services to a mix of individual (both non‑HNW and high‑net‑worth) and corporate clients, offering asset management, financial planning, brokerage, annuities, insurance and occasional investment banking services. The firm is dually registered as an SEC investment adviser and a FINRA member broker‑dealer and makes advisory services available through multiple sponsored programs and third‑party platforms.
Adviser relationships may be discretionary or non‑discretionary, with clients able to participate in programs such as uMAS, UMA and third‑party consulting solutions, and the firm documents client profiles and conducts periodic portfolio reviews (generally semi‑annually). Unusually for an enterprise firm, most of Aegis’s reported assets under management are handled on a non‑discretionary basis, so advisers commonly provide recommendations that clients must approve before trades are executed.
Aegis is notable among peers for its active broker‑dealer operations and related revenue sources — including transaction charges, payment‑for‑order‑flow arrangements and sweep rebates — and for having a disclosed related law firm; those affiliations are identified in the brochure and are subject to the firm’s conflict‑management policies. The firm primarily charges percentage‑of‑AUM advisory fees rather than flat fixed fees and discloses a history of regulatory actions and settlements that prospective clients may wish to review.
Based on Aegis Capital Corp.
Location
Austin TX
Advisors at this office
3
Advisors at this office
David D
Series 63, Series 65
Austin, TX
Aegis Capital Corp.
David Davis is a financial advisor at Aegis Capital Corp. with 28 years of industry experience. He holds Series 63 and Series 65 licenses and previously worked at J.P. Morgan Securities LLC and JPMorgan Chase Bank, N.A. Davis also manages a short-term rental property business outside of his advisory role. Aegis Capital Corp. serves individual and corporate clients with investment advisory, financial planning, brokerage, and related financial services, offering both discretionary and non-discretionary advisory relationships. The firm operates as both a registered investment adviser and broker-dealer, known for its active broker-dealer operations and multiple advisory program offerings.
Lawrence N
Series 63, Series 66
Austin, TX
Aegis Capital Corp.
Lawrence Najvar Jr. is a financial advisor at Aegis Capital Corp. with 40 years of industry experience. He holds Series 63 and Series 66 designations and previously spent 28 years at Edward D. Jones & Co., L.P. before joining Aegis Capital Corp. in 2024. Aegis Capital Corp. serves individual investors, retirement and benefit plans, trusts, estates, and corporate clients by providing investment advisory and brokerage services, financial planning, and access to managed account programs through RBC and AXOS platforms. The firm offers both discretionary and non-discretionary account options and emphasizes individual, corporate, and retirement plan business.
William M
CFP®, Series 63, Series 66
Austin, TX
Aegis Capital Corp.
William Moening is a CFP® with 27 years of industry experience, currently serving as a financial advisor at Aegis Capital Corp. since 2025. His prior experience includes roles at RBC Capital Markets and Wells Fargo Advisors LLC. He is a board member of Mainspring Schools, a nonprofit organization based in Austin, TX. Aegis Capital Corp. provides investment advisory and brokerage services to individual investors, retirement and benefit plans, trusts, estates, and corporate clients. The firm offers both discretionary and non-discretionary account options and access to managed account programs through RBC and AXOS platforms.
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