Sigma Capital Management

The firm provides discretionary investment advisory services to a small number of clients, including individuals (both non‑HNW and high‑net‑worth), retirement plans, trusts, IRAs, SEP IRAs, businesses, charitable organizations, Keogh and 401(k) plans. It manages approximately $1.56 million across five discretionary accounts and invests primarily in equities, fixed income, no‑load mutual funds and equity options.

The firm establishes long‑term relationships by documenting client objectives, risk tolerance and time horizon and then implementing investment decisions on a discretionary basis while allowing clients to impose reasonable account restrictions. Its investment analysis combines charting, fundamental and technical methods, and client accounts are reviewed monthly with quarterly reporting and year‑end tax summaries.

Noteworthy for an independent adviser, the firm discloses a prior regulatory proceeding: a 2005 state civil and administrative action involving the principal’s former firm and related disclosure deficiencies that resulted in an agreed $15,000 penalty, a type of disclosure event that is uncommon among peers. The brochure also discloses that qualified clients may be offered an alternate performance‑based fee arrangement (not currently in use), and that the firm uses third‑party custody and soft‑dollar research arrangements — operational features the firm says it addresses through policies to mitigate conflicts of interest.