Aegis Capital Corp

Aegis Capital Corp

Thursday, November 24, 2016

Advantages of Reverse Mergers


Aegis Capital Corp initially provided real estate services for an affluent client base. Founded by Robert Eide, Aegis Capital evolved with the growing needs of its clientele. Today, Aegis Capital Corp serves as a financial services company providing reverse merger services.

Reverse mergers, also identified as reverse takeovers, serve as a simpler, less expensive process of going public. Unlike conventional initial public offerings (IPOs), reverse mergers do not require the services of investment banks to underwrite the shares of the company. With a reverse merger, private companies can sell their shares without necessarily raising capital.

Most companies prefer reverse mergers over IPOs for specific reasons. Reverse mergers take a shorter period of time to complete - 30 days for some companies - because of their straightforward process. There is also a higher chance for companies to successfully complete the reverse merger, unlike in conventional IPOs. Because of the efficient process, reverse mergers are less likely to be affected by unfavorable market conditions.

For companies aiming to solely convert their business into a public entity, reverse mergers serve as a viable alternative.

Monday, November 7, 2016

Different Aspects of Wealth Management




Aegis Capital Corp began its operations in 1984 with an affluent client base, most of which were involved in complex real estate transactions. After over thirty years in the business, Aegis Capital now offers institutional services and sales trading. Aegis Capital Corp also retained its original client base by providing them with wealth management services.

Wealth management encompasses all aspects of an individual’s finances. High net worth individuals prefer this holistic approach in planning for their future needs since it involves overall financial planning. Some aspects of wealth management are:

Retirement planning - This process helps individuals identify alternative sources of income, project possible expenses, and create a savings program that can support them and their family during retirement. The job of the wealth manager is to ensure that clients still have a significant cash flow throughout all life stages.

Estate planning - This prepares the client in the event of incapacitation or death. In estate planning, wealth managers prepare the client’s asset base for bequeathal. Major tasks include creating a will, naming an executor, and limiting estate taxes.

Tax accounting - Accounting in general tracks the flow of funds of a business or individual, but tax accounting focuses on the specific rules that entities must follow when filing tax reports. Wealth managers facilitate tax accounting in accordance with the rules of the Internal Revenue Service.

Different Aspects of Wealth Management



Aegis Capital Corp began its operations in 1984 with an affluent client base, most of which were involved in complex real estate transactions. After over thirty years in the business, Aegis Capital now offers institutional services and sales trading. Aegis Capital Corp also retained its original client base by providing them with wealth management services.

Wealth management encompasses all aspects of an individual’s finances. High net worth individuals prefer this holistic approach in planning for their future needs since it involves overall financial planning. Some aspects of wealth management are:

Retirement planning - This process helps individuals identify alternative sources of income, project possible expenses, and create a savings program that can support them and their family during retirement. The job of the wealth manager is to ensure that clients still have a significant cash flow throughout all life stages.

Estate planning - This prepares the client in the event of incapacitation or death. In estate planning, wealth managers prepare the client’s asset base for bequeathal. Major tasks include creating a will, naming an executor, and limiting estate taxes.

Tax accounting - Accounting in general tracks the flow of funds of a business or individual, but tax accounting focuses on the specific rules that entities must follow when filing tax reports. Wealth managers facilitate tax accounting in accordance with the rules of the Internal Revenue Service.

Thursday, October 27, 2016

Apex Clearing Corporation’s Risk Management Approach


Aegis Capital Corp focuses on providing clients with financial solutions for capital market transactions. Since 1984, Aegis Capital had continuously evolved by teaming up with other industry partners. Among the partners of Aegis Capital Corp is Apex Clearing Corporation.

Apex Clearing Corporation combines 150 years of experience to provide retail and institutional solutions to its clients and partners. As a self-clearing broker, Apex identifies clearing as its primary focus, while retaining complete control over the process for transparency and efficiency. The company also developed an approach that mitigates the risk which other clearing firms often overlook. This approach is called the Apex RiskCheck.

Apex RiskCheck features a five-tiered approach that identifies risk factors in clearing operations. This includes Real-Time Risk Monitoring, Portfolio Stress Tests, Compliance and Regulatory Checks, New Client Evaluation Processes, and Strong Financial Management. Through this approach, Apex Clearing Corporation remains true to its commitment in protecting the assets and business of its clients.

Wednesday, October 19, 2016

Task Force Modernizes Securities Investor Protection Act in 2010


A full service broker-dealer firm serving retail and institutional clients, Aegis Capital Corp commits to enhancing client goals through an independent, conflict-free platform. Aegis Capital Corp also maintains membership with the Securities Investor Protection Corporation (SIPC), a nonprofit entity created under the Securities Investor Protection Act (SIPA) of 1970. In June 2010, SIPC formed the Modernization Task Force to modernize and review SIPA and the policies of SIPC.

The Modernization Task Force conducted a comprehensive review of SIPA and the operations and policies of SIPC over the course of its investigation, which included a total of 14 meetings. It also established two subcommittees to handle major issues, such as discussions over possible revisions to SIPA. 

The investigation incorporated the opinions of members of the public and contributions from investor education professionals, mutual fund industry representatives, and other leading authorities. To collect suggestions from the public, the task force created an online platform and held two public forums between September 2010 and June 2011. Members of the Modernization Task Force consisted of regulatory specialists, investor advocates, and academic leaders.

Thursday, September 29, 2016

How the SIPC Protects Investors and Their Assets



Founded in 1984, Aegis Capital Corp has established a wide customer base and a strong reputation over the last few decades. Aegis Capital Corp is a member of both FINRA and the SIPC, allowing them to safeguard their customers' assets.

The Securities Investor Protection Corporation (SIPC) is a nonprofit member corporation. It was established by the Securities Investor Protection Act of 1970, and exists to facilitate liquidation when a broker-dealer faces bankruptcy or similar financial woes. When a broker goes under, the SIPC makes sure that customers get their securities and cash assets back promptly.

When liquidation begins, a court-appointed trustee closes the failed brokerage firm and immediately takes control of books and records. In cases where records are poorly organized or incomplete, this first step can take months.

When organized, the trustee requests claim forms from the court. Once approved, these forms will be mailed to the broker's former customers. These individuals have a limited window to file a claim. The trustee will also publish public notice of the pending case.

Once the customers receive their claim forms, they fill them out and submit them along with any documentation that supports their claim. The trustee evaluates a claim, issues a determination letter, and returns the appropriate assets to the customer.

For more information on Aegis Capital, visit www.aegiscapcorp.com.

Tuesday, August 30, 2016

Disruptor 50 Recognizes Startup Companies that Challenge Major Brands




Friday, August 12, 2016

RBC Capital Marketing Supports Youth-Related Charities


Aegis Capital Corp. is an investment organization that serves as a broker-dealer and offers a comprehensive series of advisory and financial services that include fund management, real estate financing, and business expansion. Assets managed by Aegis Capital Corp. are held at RBC Capital Markets, a premier firm that operates under the administration of the Royal Bank of Canada (RBC). RBC Capital Markets give back to the community through initiatives like its annual RBC Trade for the Kids Day.

Held on June 28, 2016, the Trade for the Kids Day supports youth-related charities through donations that draw from a portion of net revenue from client order flow. The 2016 event marked RBC’s second Trade for the Kids affair and continued the firm’s legacy of supporting charities that benefit youth at the grass-roots level and helping communities prosper. Funds raised amounted to $1 million, which RBC donated to organizations such as the Ronald McDonald House of New York, Youth INC, and the Department of Pediatrics at Memorial Sloan Kettering Cancer Center (MSK).

Thursday, August 4, 2016

Fixed Annuities vs. Variable Annuities


Aegis Capital Corp. is a retail and institutional broker-dealer located in New York City. As part of its commitment to its clients, Aegis Capital Corp. advises individual investors on fixed and variable annuities.

At the most basic level, an annuity refers to payments submitted to an insurance company in exchange for future income streams during retirement. Fixed annuities involve guaranteed minimum interest rates, which can vary but never fall below a specified lower threshold. As such, fixed annuities provide relatively stable income streams. Payments on fixed annuities can be submitted in one lump sum or spread out over an established period of time.

By contrast, variable annuities allow the policyholder to determine how the insurance company invests premiums. Policyholders typically choose from a set of investment options consisting of professionally managed portfolios. While fixed annuities provide returns based on a constant rate of return, returns from variable annuities depend on the performance on the investment subaccounts. For this reason, variable annuities feature an inherently higher risk profile.

Tuesday, July 26, 2016

Qualities of Successful Sales Traders


Since 1984, Aegis Capital Corp. has provided in-depth financial services for institutional investors in New York City and elsewhere. Aegis Capital Corp. employs a team of experienced sales traders who maintain constant contact with trading desks and market makers and help clients make trades at favorable prices.

In the world of finance, sales traders act as a liaison between their firm’s clients and traders. As such, sales traders must have excellent communication skills and the ability to reconcile the limitations of the trader and the demands of the client. In the same vein, sales traders must be able to take criticism from clients in stride, especially when a trade does not go as expected.

In today’s business landscape, sales traders are increasingly called upon to handle electronic aspects of a firm’s business. In addition to managing client and trader relationships, sales traders must help clients decide on execution mechanisms, which often include risk capital, program trading, or algorithms. Sales traders must also have an in-depth knowledge of compliance, regulation, and multiple asset classes.

Monday, July 18, 2016

Stanley Crouch (Aegis Capital/EXP Wealth Enhancement) Aegis Interview


Dave Gentry, host of "The RedChip Money Report: Small Stocks Big Money," interviews Stanley Crouch, CIO and Senior Managing Director of Aegis Capital, at the Aegis Healthcare Conference. Mr. Crouch is also CEO of EXP Wealth Enhancement, an affiliate of Aegis Capital.

Thursday, July 14, 2016

Clinton Mayer Joins Aegis Capital Corp.’s Private Client Group


Headquartered in New York and with offices spanning the United States, Aegis Capital Corp. provides advice and transactional services that are independent and unencumbered. Established in 1984, Aegis Capital Corp. has pursued a consistent expansion pathway that has entailed attracting and retaining top industry talent.

In early 2016, Aegis CEO Robert Eide announced the addition of Clinton Mayer to the Private Client Group in a position of senior vice president. At the time, Mr. Mayer managed client assets valued at $230 million and maintained long-term relationships developed over the course of more than three decades with Drexel Burnham and Burnham Securities.

The move was characterized as leveraging Mr. Mayer’s extensive client roster of high net worth individuals and families, as well as his diversified investment knowledge. He has emphasized a “value growth” strategic approach over the years and sought sustainable returns that outpace the market. When not engaged in financial advisory capacities, Mr. Mayer devotes much of his time and efforts to philanthropic ventures and charitable activities.

Wednesday, July 6, 2016

Aegis Capital Corp. Expands to Portland, Oregon With Veteran Team


Headquartered in New York, Aegis Capital Corp. provides institutional clients with a conflict-free, independent platform that emphasizes quality services and advising. Aegis Capital Corp is continuously adding experienced teams to its growing network of institutional and wealth management desks.

In August, 2015, Aegis announced its expansion to the Portland, Oregon, market through the hiring of a team of financial advisors who had previously worked together at a regional, mid-sized firm. With a focus on fixed-income securities and equity holdings, the team proved successful in meeting the needs of diverse corporate and retail clients of high net worth as well as family offices.

The move has been described as significantly bolstering the West Coast presence of a firm that maintains approximately two dozen locations nationwide, with employees spanning Florida and other states, and clients in all 50 states. An overarching mission of the company is to provide quality financial services that are assured by its longstanding clearing relationships with Apex and RBC-CS.

Tuesday, June 28, 2016

Aegis Capital Corp. Hires Former Bank Hapoalim Staff


New York-based Aegis Capital Corp. serves its clients as a boutique investment bank and financial advisory firm. Since the mid-1980s, the bank has offered high-quality, individually focused wealth and asset management assistance, as well as brokerage services and securities trading. Aegis Capital Corp., under the direction of chairman and CEO Robert Eide, recently added two prestigious new hires to its Corporate and Global Fixed Income division.

Both Michael Agulla and Dave Johnson were most recently part of the team at Bank Hapoalim. Mr. Agulla served at Hapoalim Securities as a vice president for close to a decade, concentrating on corporate and sovereign debt in emerging markets, as well as convertible high-yield issues. Mr. Johnson spent his most recent 12 years at the bank, capping a career focused on fixed income trades and high-yield oil and gas commodities.

Bank Hapoalim, headquartered in Tel Aviv, is one of Israel’s major institutions, with offices in New York and around the world in nations that include the United Kingdom, Mexico, Russia, Canada, and Turkey. It received a 2015 recognition as Bank of the Year in Israel from The Banker, a magazine produced under the imprint of the Financial Times in London.

Monday, June 20, 2016

Research and Analytics Services at Moody’s




Friday, June 10, 2016

Online Sources for Basic Information on Investing



Aegis Capital Corp. works from its New York headquarters to provide a range of financial advisory and wealth management services. Established in 1984, the investment bank conducts research through liaising with experts in business and industry with the goal of assembling high-quality, differentiated information. Aegis Capital Corp. staff members understand that by offering finely tuned alternative scenario analysis, they can help customers pinpoint potential new avenues for long-term investment.

This kind of research is vital to the operation of any financial advisory firm. While the typical layperson lacks the resources to conduct investigations of this quality, a few basic research tools can assist anyone in becoming a more knowledgeable investor. A number of respected online resources in the financial field, including Investopedia.com, offer tutorials that teach the basics of fundamental analysis for beginners in investing. Investopedia additionally offers an extensive glossary of terms related to finance, as well as articles that cover individual topics in detail.

Nerdwallet.com is another excellent resource that provides links to information on automobile insurance, credit cards, mortgages, and investing. The site strives to make sure that the language used in its articles is clear and easy to understand.

The popular “For Dummies” series of books covers scores of topics, including finance and investing. The brand also offers an online presence at ForDummies.com, where its pages on personal finance offer information on, for example, calculating investment risk and ascertaining a company’s worth.

Finally, the Aegiscapcorp.com website provides an updated newsfeed with stories related to finance and investing.

Thursday, June 2, 2016

Tax-Deferred 403(b) Retirement Plans for Education Employees


Based in New York with a presence spanning the East Coast, Aegis Capital Corp. is a well-established broker-dealer that utilizes proprietary analysis in providing integrated institutional and retail services. Within a retail setting, Aegis Capital Corp. handles a wide range of IRA plans, as well as 403(b) retirement planning.

Employees of educational institutions and certain nonprofit organizations can access the 403(b) as a tax-deferred strategy of saving money for retirement. Unlike formula-based pensions, where retirement payout reflects set factors, from salary to years of service, 403(b) plans are self-directed and voluntary. Payouts thus reflect the amount of money that has been allocated into the vehicle by the employee.

While 403(b) plans can be self-standing, they are traditionally designed as a way of supplementing 401(k) pensions. It pays to shop around for the right provider, as they are not as strictly regulated as their defined-benefit cousins. Finding a low-fee provider can be essential in maximizing the benefits accrued from this type of retirement plan.

Wednesday, May 25, 2016

Aegis Capital Corp. - Lead Manager of CombiMatrix Public Offering



A full service retail broker-dealer, New York City-based Aegis Capital Corp. offers a host of services to diverse institutional and retail clients. In March 2016, Aegis Capital Corp. took a lead management role in a firm commitment underwritten public offering for CombiMatrix Corporation.

A molecular diagnostics enterprise, CombiMatrix offers pre-implantation genetic screening and DNA-based testing focused on identifying postnatal and prenatal developmental disorders. Committed to the highest-quality diagnostics, the firm has developed an advanced cytogenomic approach that can identify abnormalities beyond those that conventional approaches can discern. Uses of the technologies extend to pediatric genetics and analysis of miscarriages within a pattern of recurrent pregnancy loss.

With 8,000 Series F units of convertible preferred stock made available to the public, the Aegis-enabled offering translates to $8 million in gross proceeds prior to the deduction of expenses, commissions, and underwriting discounts. The deal also involved the participation of Ladenburg Thalmann Financial Services, Inc., a subsidiary of Ladenburg Thalmann & Co. Inc., as the bookrunning manager.

Friday, April 29, 2016

AEGIS Capital Director of Research Raghuram "Ram" Selvaraju Gives Keynote Address at RedChip VC

Raghuram "Ram" Selvaraju, Director of Research and Head of Healthcare Research at Aegis Capital Corp., a full service investment bank headquartered in NYC that focuses primarily on small and micro-cap companies, gives key note address at this years RedChip virtual conference. Aegis is the leading boutique investment bank for Healthcare focused IPOs.