Sigma Asset Management, L.L.C. (Chicago)


Sigma Asset Management, L.L.C. is a pension cosultant based in Chicago. It manages $9.01 million of regulatory assets for 57 client accounts. It has been registered with the SEC as an adviser since 2006.

Sigma Asset Management, L.L.C provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Sigma Asset Management, L.L.C: assets under management

The assets under management (AUM) of Sigma Asset Management, L.L.C. is $9.01 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 4% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $9.01 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $158.09 thousand each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Sigma Asset Management, L.L.C. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Sigma Asset Management, L.L.C.

Brandon Rockwell Thomas has been acting as President since 1 Dec 2004. Inc. Envestnet Asset Management Group joined the executive team most recently as the Shareholder.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Inc. Envestnet Asset Management Group Shareholder 1 Dec 2004 75% - 100% 20-1409613
Brandon Rockwell Thomas President 1 Dec 2004 Other 2071577
Shelly Ann Starr Managing director 1 Dec 2004 Other 4520223
George Luis Alvin Chief compliance officer 1 Dec 2004 Other 3059817
Dale Joseph Seier Managing director 1 Dec 2004 Other 2441308
Donald Kent Frerichs Managing director 1 Dec 2004 Other 2108022

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
L.P. Grp Ii Shareholder 1 May 2004 25% - 50% 95-4780972

Based in Chicago

The principal office where Sigma Asset Management, L.L.C. performs its advisory services is located at 35 East Wacker Drive, Chicago, IL 60601, which is also the mailing address of the firm. An additional office of the firm is in Denver, CO. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 312-827-2800 or by fax 312-827-2801. The normal business hours are 8:30am - 5:30pm on Monday - Friday.