DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

AEGIS ASSET MANAGEMENT INC

CRD 111413

ANAHEIM, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8c2663d6-96d8-7efc-6969-eb6cbacf30be

Data as of Jul 25, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Jul 25, 2012
4 observations

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $13.7MItem 5.F on the latest filing (2012-07-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $12.3M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 45
SEC number: 801-42446
CRD: 111413
Filings on the tape: 4
First filed: Mar 28, 2012
Latest filed: Jul 25, 2012
Organised: Corporation, California

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CATANZARITE, ELLEN	Owner	C	yes	03/1993	Mar 28, 2012	Jul 25, 2012
CATANZARITE, JOSEPH, F	Owner	C	yes	03/1993	Mar 28, 2012	Jul 25, 2012
CATANZARITE, KENNETH, JOSEPH	PRESIDENT & CEO	C	yes	09/1992	Mar 28, 2012	Jul 25, 2012
PILLER, DAVID, MICHAEL	CHIEF COMPLIANCE OFFICER AND EVP	Na	yes	04/1994	Mar 28, 2012	Jul 25, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CATANZARITE LAW CORPORATION	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Jun 26, 2012	$13.7M	$12.3M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$13.7M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
AEGIS ASSET MANAGEMENT, INC.	2	May 15, 2020	Oct 4, 2019	ANAHEIM, CA	Channel change	Other	100.0%

Relationships

Controls (4)

← CATANZARITE, KENNETH, JOSEPHOwnerPRESIDENT & CEO, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← PILLER, DAVID, MICHAELOwnerCHIEF COMPLIANCE OFFICER AND EVP, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← CATANZARITE, JOSEPH, FOwnerOWNER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← CATANZARITE, ELLENOwnerOWNER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV

Registered with (2)

← KENNETH JOSEPH CATANZARITEAdvisorregistration: previous registration
Apr 11, 2016 to May 15, 2020factForm ADV
← DAVID MICHAEL PILLERAdvisorregistration: previous registration
Apr 11, 2016 to May 15, 2020factForm ADV

Moved with (1)

→ AEGIS ASSET MANAGEMENT, INC.Registered adviser2 advisors, team lift out, same day
May 15, 2020 to Oct 4, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8c2663d6-96d8-7efc-6969-eb6cbacf30be
First observed: Mar 28, 2012
Last observed: Jul 25, 2012 172 months ago
Source families: Federal regulator filings
3 registered feeds 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.

AEGIS ASSET MANAGEMENT INC

CRD 111413

ANAHEIM, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8c2663d6-96d8-7efc-6969-eb6cbacf30be

Data as of Jul 25, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:30 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CATANZARITE, ELLEN

Owner

yes

03/1993

Mar 28, 2012

Jul 25, 2012

CATANZARITE, JOSEPH, F

Owner

yes

03/1993

Mar 28, 2012

Jul 25, 2012

CATANZARITE, KENNETH, JOSEPH

PRESIDENT & CEO

yes

09/1992

Mar 28, 2012

Jul 25, 2012

PILLER, DAVID, MICHAEL

CHIEF COMPLIANCE OFFICER AND EVP

yes

04/1994

Mar 28, 2012

Jul 25, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CATANZARITE LAW CORPORATION

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Jun 26, 2012

$13.7M

$12.3M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$13.7M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

AEGIS ASSET MANAGEMENT, INC.

May 15, 2020

Oct 4, 2019

ANAHEIM, CA

Channel change

Other

100.0%