First Sigma Capital LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$9,926,874
Clients
6
100% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
6
Very LowAverage account size
$1,654,479
About
First Sigma Capital LLC provides discretionary portfolio management for individual and high‑net‑worth clients through separately managed accounts and reports managing roughly $9.9 million on a discretionary basis. The firm does not provide financial planning, estate, insurance, tax, or accounting services and does not participate in wrap fee programs.
The firm’s investment process combines technical, fundamental, and cyclical analysis and implements a common investment strategy while adapting portfolios for tax, suitability, and timing differences across accounts. It discloses the use of higher‑risk techniques — including short sales, leverage (margin and borrowed shares), frequent trading, and options — and describes the material risks associated with those strategies.
Notable distinctions for the firm include that it is engaged in business as an exempt Commodity Trading Advisor and that it may enter into performance‑based fee arrangements with qualified clients. The adviser requires use of a single broker‑dealer/custodian (Interactive Brokers) for all client accounts, employs block trading, and does not accept authority to vote client securities.
Client services
Portfolio management
Expertise
Active portfolio management
Options & derivatives strategies
Fee options
2.00% annually
20% of net positive capital gains and capital appreciation, assessed quarterly
Account minimum: $500,000
Main office location
First Sigma Capital LLC
Irvine CA, United States
Number of offices
1
Most active in
First Sigma Capital LLC has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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