# Sigma Financial Corporation

Sigma Financial Corporation is an Asset Manager based in Ann Arbor, United States.

## Overview

- **Organization type:** Asset Manager
- **Headquarters:** Ann Arbor, United States
- **Region:** North America
- **Address:** Ann Arbor, MI, United States
- **Founded:** 1983
- **Assets under management:** Undisclosed
- **Website:** sigmafinancial.com

## Regulatory record

- **CRD number:** 123184
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/123184

## About

Sigma Financial, Inc. is a state-registered investment adviser in Allentown, PA. It has 19 employees and 4 investment advisers. The firm is based in Allentown, PA.

## Sectors

- Wealth Management
- Retail Financial Services

## People

- Mark L. P. Higgins — Chairman and CEO
- John D. Evans — Co-Founder

## Questions

### Who founded Sigma Financial and what was its original business model?

Sigma Financial was co-founded in 1983 by John D. Evans, a former retail broker of the 1970s Wall Street era. The firm was built as an independent contractor platform for financial advisors who wanted to run their own practices without building a broker-dealer, handling their own compliance, or negotiating their own clearing relationships. Advisors affiliated with Sigma and, in return for a split of commissions and fees, received trade execution, supervision, and regulatory umbrella coverage through the firm's FINRA-registered broker-dealer.

### Did Sigma Financial manage proprietary investment products or act as an asset manager on its own balance sheet?

No. Sigma Financial did not manufacture or manage proprietary investment products. It functioned as a product-distribution platform — an introducing broker-dealer that routed trades through third-party clearing firms and collected a percentage of commissions generated by its independent-affiliated representatives. Its advisors sold variable annuities, mutual funds, life insurance policies and managed advisory accounts, but Sigma itself was never an investment manager running pooled vehicles.

### How did Sigma Financial fit into the Atria Wealth Solutions acquisition, and what happened to the Sigma brand afterward?

Atria Wealth Solutions, a private-equity-backed wealth management consolidator formed through acquisitions, purchased Sigma Financial in February 2018 (per Atria's February 2018 announcement). Sigma was folded into the Atria ecosystem alongside other acquired broker-dealer platforms like Cadaret Grant and NEXT Financial. The Sigma brand was eventually retired as part of Atria's integration and streamlining of its multiple legacy broker-dealer platforms under a more unified operating structure.

## Related profiles

- [Rise Wealth Advisors](https://altss.com/profile/rise-wealth-advisors-inc)
- [Mainstreet Financial Planning](https://altss.com/profile/mainstreet-financial-planning-inc)

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Last updated: 2026-07-08T23:47:57.155Z

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