Gagnon Securities, LLC
Registered investment adviser · New York, NY · CRD #103727
Form ADV data as of 2026-09-01Regulatory assets
$529.7 million
Total accounts
1,202
Employees
19
Disclosure events
3
Firm details
- Website: http://www.gagnonsec.com
- Telephone: 212-554-5000
- SEC file number: 801-64836
- Most recent Form ADV filing: 2026-08-12
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 3 disclosure questions answered Yes, covering 3 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- SEC or CFTC found a violation of its regulations or statutes
- SEC or CFTC entered an order in connection with investment-related activity
- SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $529.7 million |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $529.7 million |
| Discretionary accounts | 1,202 |
| Non-discretionary accounts | 0 |
| Total accounts | 1,202 |
| Regulatory assets under management attributable to non-U.S. persons | $802,446 |
People
| Total employees (excluding clerical) | 19 |
| Employees performing investment advisory functions (including research) | 10 |
| Employees who are registered representatives of a broker-dealer | 19 |
| Employees registered as investment adviser representatives with a state | 19 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another proprietary interest
- Executes agency cross transactions involving advisory client securities
- Recommends securities for which it serves as underwriter or general partner
- Recommends securities in which it has another sales interest
- Brokers or dealers selected under 8.C.(3) are related persons
- Provides employee compensation specifically for obtaining clients
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 1,025 | $247.6 million |
| High net worth individuals | 33 | $224.2 million |
| Corporations or other businesses not listed above | 144 | $58.0 million |