# Sigma Planning Corporation Sigma Planning Corporation is a Multi Family Office based in Ann Arbor, United States. ## Overview - **Organization type:** Multi Family Office - **Headquarters:** Ann Arbor, United States - **Region:** North America - **Address:** Ann Arbor, MI, United States - **Founded:** 1992 - **Assets under management:** Undisclosed - **Website:** sigmaplanning.com - **LinkedIn:** https://www.linkedin.com/company/sigma-planning-corporation ## Regulatory record - **Reports private funds:** No ## About Larry Carroll founded Sigma Planning Corporation in 1992 in Ann Arbor, Michigan, evolving it from a local accounting and financial planning firm into a sprawling financial services holding company. The Carroll family retains private ownership of the entity, which sits atop a collection of regulated entities including a FINRA-licensed broker-dealer and an SEC-registered investment advisor. Wealth accumulation is tied directly to the firm's long-duration consolidation of advisory fee revenue across multiple economic cycles. The firm's strategy is acquisition and affiliation, not direct portfolio management from a central balance sheet. Sigma operates as an intermediary platform and service bureau for independent financial advisors, offering them securities brokerage through its broker-dealer arm and fee-based asset management via its corporate RIA. Asset classes accessed through the platform typically include publicly traded equities and fixed income, private real estate investment trusts, structured private credit products, and annuities. Two highly visible strategic moves frame the firm's recent posture: the acquisition of a majority stake in a registered investment advisor network to deepen fee-based assets, and the integration of advanced tax optimization software for its advisors, a nod to its tax-preparation roots. The holding company serves several hundred financial professionals across the United States. In early 2024, Sigma announced an executive promotion designed to streamline the leadership of its hybrid broker-dealer and RIA platform, signaling generational business planning beneath the Carroll family's control (per ThinkAdvisor, 2024). The firm maintains its headquarters in Ann Arbor, with operational hubs supporting remote advisors rather than a dense branch network. Sigma's structural differentiator is a tax-centric DNA running through a modern hybrid RIA aggregator. Unlike pure-play wealth managers that start with investment products, Sigma's origin in tax preparation means its advisor network is trained to subordinate product selection to after-tax return. This creates a multi-generational stickiness in client relationships that a standard broker-dealer architecture cannot easily replicate. The firm remains governed as a closely held Carroll family enterprise, insulating its strategy from public-market earnings pressure while competing with both large institutional aggregators and boutique RIA roll-up platforms. ## Sectors - Wealth Management - Real Estate - Private Credit - Private Equity - Hedge Funds ## People - Larry M. Carroll — President and CEO ## Questions ### Is Sigma a family office, a broker-dealer, or an RIA? Sigma operates a hybrid structure. It is a closely held holding company that owns a FINRA-member broker-dealer and an SEC-registered corporate RIA. Independent advisors affiliate with Sigma to use its brokerage and advisory platforms. While not a single family office in the direct-investment sense, it functions as a multi-family office style enterprise that consolidates and operates wealth management practices. ### How does Sigma source its deal flow or investment opportunities? Sigma does not operate a proprietary deal-sourcing desk for direct investments. Its investment committee vets third-party asset managers and product sponsors for its advisor platform. Advisors then allocate client capital to approved strategies spanning mutual funds, ETFs, variable annuities, private REITs, and structured credit offerings. ### What is Sigma's posture on co-investments or club deals alongside external advisors? Sigma does not market a co-investment club or formal deal-sharing program. The platform's structure means that affiliated advisors independently construct client portfolios from Sigma's curated product shelf. There is no aggregated vehicle through which Sigma and its advisors coinvest their personal capital. ### How does Sigma's tax-preparation heritage influence its current strategy? Sigma began as a tax and accounting firm, and that influence persists in its tech stack and advisor training. The firm integrates tax-loss harvesting software and tax-aware portfolio construction tools into its advisory platform. This after-tax orientation serves as a competitive moat against larger broker-dealer aggregators that lack embedded tax expertise in their field networks. ### What recent organizational changes signal Sigma's future direction? In early 2024, Sigma promoted a key executive to oversee the combined leadership of its broker-dealer and RIA, reflecting a push toward deeper integration of its hybrid platform. The move also signals a succession-planning step within the Carroll family's privately held structure, ensuring continuity of operating philosophy as the firm competes against larger aggregators (per ThinkAdvisor, 2024). ## Related profiles - [Shun Hing Capital Asia](https://altss.com/profile/shun-hing-capital-asia-ltd-shca) - [Sigrid Jusélius](https://altss.com/profile/sigrid-jus-lius) --- Last updated: 2026-08-11T02:43:31.692Z Canonical page: https://altss.com/profile/sigma-planning-corporation-spc Maintained by Altss — https://altss.com — methodology: https://altss.com/methodology