sigma3capital LLC

sigma3capital LLC is a small independent advisory firm that provides discretionary asset management and financial planning to individual and high-net-worth clients. The firm reports managing about $17 million across roughly 65 client relationships and offers ongoing portfolio management plus tailored financial plans.

The firm typically implements individualized, discretionary portfolios using fundamental, technical and quantitative analysis (including option pricing techniques) to set allocations and trade timing. Its brochure discloses that strategies may include long- and short-term holdings, option writing (including covered and uncovered strategies), and the use of margin/borrowing — with fees billed on net asset value when margin is utilized.

Compared with many solo independent advisers, sigma3’s use of derivatives and margin in managed accounts is notable and is explicitly described in its risk and strategy disclosures. The brochure also discloses outside business activities — a related tax-services business and retail franchise operations that each consume about 15% of the principal’s time — and notes operational practices such as recommending a single custodian (Charles Schwab), not aggregating trades across client accounts, and not voting client proxies.