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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

SIGMA ANALYSIS & MANAGEMENT LTD.

CRD 289757

TORONTO, ONTARIO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8d981d60-b0d5-1a8f-ff5a-a663f2514a68

Data as of Aug 25, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 25, 2017 to Aug 25, 2017
1 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 15
Advisory employees: 5
SEC number: 801-111754
CRD: 289757
Filings on the tape: 1
First filed: Aug 25, 2017
Latest filed: Aug 25, 2017
Organised: Corporation

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
RAM, TERENCE	CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER	A	yes	11/2007	Aug 25, 2017	Aug 25, 2017
RUDD, DAVID, CLEVELAND	Chairman	C	yes	02/1999	Aug 25, 2017	Aug 25, 2017
SECO, LUIS, ANGEL	PRESIDENT AND CHIEF EXECUTIVE OFFICER	C	yes	02/1999	Aug 25, 2017	Aug 25, 2017
Vesely, Megan, Kathleen	GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER	Na	no	05/2015	Aug 25, 2017	Aug 25, 2017

Relationships

Controls (3)

← RAM, TERENCEOwnerCHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER, ownership code A, individual
Aug 25, 2017 to presentfactForm ADV
← SECO, LUIS, ANGELOwnerPRESIDENT AND CHIEF EXECUTIVE OFFICER, ownership code C, individual
Aug 25, 2017 to presentfactForm ADV
← RUDD, DAVID, CLEVELANDOwnerCHAIRMAN, ownership code C, individual
Aug 25, 2017 to presentfactForm ADV

Owns (1)

← Vesely, Megan, KathleenOwnerGENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 25, 2017 to presentfactForm ADV

Dated events

Occurred
Aug 25, 2017
First Form ADV filing
Sigma Analysis & Management Ltd. filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8d981d60-b0d5-1a8f-ff5a-a663f2514a68
First observed: Aug 25, 2017
Last observed: Aug 25, 2017 110 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SIGMA ANALYSIS & MANAGEMENT LTD.

CRD 289757

TORONTO, ONTARIO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8d981d60-b0d5-1a8f-ff5a-a663f2514a68

Data as of Aug 25, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:02 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

RAM, TERENCE

CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER

yes

11/2007

Aug 25, 2017

RUDD, DAVID, CLEVELAND

Chairman

yes

02/1999

Aug 25, 2017

SECO, LUIS, ANGEL

PRESIDENT AND CHIEF EXECUTIVE OFFICER

yes

02/1999

Aug 25, 2017

Vesely, Megan, Kathleen

GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER

05/2015

Aug 25, 2017