Sigma Planning Corporation (SPC) provides investment management, financial planning, and consulting services through its investment advisor representatives (IARs). SPC offers portfolio management through the SIGMA Managed Account, which can be discretionary or non-discretionary. SPC also offers direct-at-fund programs for clients interested in a specific mutual fund company. SPC's IARs work with clients to determine their financial situation, investment objectives, and risk tolerance to develop a suitable investment strategy. SPC also offers financial planning and consulting services on an hourly, fixed fee, project, and/or ongoing basis.
Fee Structure
SPC offers investment management through the SIGMA Managed Account program. Clients pay an annual account management fee based on a percentage of their account assets. The fee includes a program fee and the IAR's compensation. For example, if your account AUM is $1,500,000, the first $500,000 is billed at 2.50%, the next $250,000 at 1.75%, the next $250,000 at 1.50%, and the remaining $500,000 at 1.25%. The maximum annual advisory fee is 2.5%. The program fee is 0.15% on all assets. There is a $30 minimum annual program fee.
SPC also offers direct-at-fund programs where clients pay an annual asset-based investment management fee of 0.5%.