Clayton K Shum

CFP

Aegis Capital CORP.

19 Years of Experience

3 DisclosuresBrokerSells Insurance

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningTax PlanningEstate Planning

Aegis Capital CORP.

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

94 advisors

Number of Clients

1,733 clients

Average Client Portfolio

$826K average

Assets Under Management

$1.4B

Fee Structure

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 Report How 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.