This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

AEGIS CAPITAL CORP.

Current firm class

broker-dealer affiliated wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Jun 1, 2004earliest registration or exam on IAPD

Years in industry

22derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

1

Designations

Certified Financial Planner

Exams

S66|S63

First exam

Nov 2, 2009

First registration

Dec 9, 2009

Dual registered

yes, broker-dealer

Other names

CLAYTON K. SHUM|CLAYTON KWOK SHUM

IAPD individual key

4412927

• Occurred

  Jan 12, 2023
  Advisor changed firm

  Clayton K Shum left Grove Point Advisors, Llc for Aegis Capital Corp. (registered 2023-02-13)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:854f36a4-14ab-3a29-237c-0a916c7fc02a

First observed

Dec 9, 2009

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.