Why Sigma

Choosing a Financial Advisor

What To Expect

    Highly Knowledgeable and Experienced Professionals
    Our team of qualified professionals will take the time to understand your specific investment goals, attitude towards risk and unique needs in order to develop and maintain a customized financial plan.

    Objective, High-Quality Research and Advice
    Our investment selections are based on our own independent research. Our clients’ assets are managed in a grounded way that is designed to accomplish their specific goals without exposure to unnecessary risk.

    Ongoing Communication From Your Investment Advisor
    We expect our clients’ goals to change over time, so we strive to maintain a pro-active, open and ongoing dialogue with them. The frequency of client contact is largely client driven, but we strive to be in contact with our clients at least once every 90 days. Importantly, clients communicate directly with the individuals who are responsible for managing their portfolio.

    Secure Access to Comprehensive Account Information
    In addition to the on-going dialogue with their investment advisors, clients have real-time access to all of their account information via a secured link on our website. This easy-to-use site contains many flexible portfolio reports along with secure vaulting capabilities for quarterly performance reports, client invoices and other important client information.


    At Sigma, we take pride in knowing that we have a solid team of knowledgeable and experienced professionals. In addition to undergraduate and graduate degrees from top universities and longstanding careers in the financial services industry, many of our team members have obtained one or more additional designations. Specifically, members of the Sigma investment team are encouraged to obtain the Chartered Financial Analyst and/or CERTIFIED FINANCIAL PLANNER™ designations.

    CFA ®: The CFA® Charter is widely regarded in the global financial industry for its rigorous focus on current investment knowledge, analytical skill, and ethical standards. The mission of CFA® Institute is to lead the investment profession globally by promoting the highest standards of ethics, education, and professional excellence for the ultimate benefit of society. At Sigma, the CFA® Code of Ethics and Standards of Professional Conduct are the foundation of our independent research and portfolio management process. Our investment committee currently has seven CFA® charter holders.

    CFP ®: The CFP® certification is often referred to as the standard of excellence in financial planning. The CFP® designation is rooted in a foundation of education, examination, experience and ethics. The mission of the CFP® Board is to benefit the public by granting the CFP® certification and upholding it as the recognized standard of excellence for competent and ethical personal financial planning. From budgeting, to planning for retirement, to saving for education, to managing your taxes and insurance coverage, financial planning is a multi-faceted undertaking that goes beyond investments. A CERTIFIED FINANCIAL PLANNER™ can be an essential resource in bringing all of the pieces of your financial life together. Sigma currently has five CFP® professionals on staff.

Fiduciary Standard

    Sigma accepts fiduciary responsibility on every client relationship. By accepting fiduciary responsibility, we are legally required to act for the sole benefit of our clients at all times.

    At Sigma, the client always comes first. We strive to exercise prudent judgment, disclose all material facts, avoid conflicts of interest and control investment expenses. A quality relationship with our clients must be grounded by a high degree of trust. We believe that accepting fiduciary responsibility is a critical component to building and maintaining that trust.

Fee Only Compensation

    Sigma is compensated on a fee-only basis and does not receive any third-party compensation based upon products, recommendations, or how client assets are invested. As a result, we are fully committed to providing objective and unbiased advice. A minimum of $500,000 of assets under management is required for Sigma’s wealth management services.

    Sigma’s clients are billed on a quarterly basis. Quarterly fees are based upon the value of the assets that Sigma manages directly. Our standard fee schedule is as follows:

    1.0% annually on the first $2,000,000
    0.6% annually on the next $3,000,000
    0.5% annually on the next $5,000,000
    0.2% annually on any amount over $10,000,000