sigma3capital LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
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.
Client services
Expertise
Occupation focus
Fee options
Financial planning flat fees between $250 and $5,000
$0 - $1,000,000: 1.40% annually Over $1,000,001+: 1.00% annually
$250 per hour for financial planning services
Main office
San Jose CA
Advisors at this office
1
Most active in
California
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor's Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and referrals are provided by FinanceHQ LLC ("FHQ"), a wholly-owned subsidiary of Warmer and an SEC-registered investment adviser. We may be compensated by participating advisors. You pay no fee to use our matching service, and advisor fees are not increased because of a referral. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to the Warmer Terms of Service and FHQ Advisory Agreement, and acknowledge Warmer's Privacy Policy. Please review FHQ's ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")