Model-portfolio change or rebalance
A proposed change to a model or a household rebalance, checked against the governing document before it reaches an advisor or a desk.
Design partner program — regulated capital workflows
Six weeks. One workflow. A record of what would have been held.
We deploy against one existing capital workflow, replay your own past decisions through it, then observe live activity in shadow mode beside your current process. Nothing in your firm changes hands, changes route, or changes owner.
The deliverable is not a slide deck. It is a measured result: what would have been permitted, what would have been held for missing proof, what would have been refused, and the audit record each disposition produced.
The single technical target
Every prohibited or under-evidenced test action fails closed — and every disposition is explainable.
We build a negative-control set alongside your real decisions: actions that breach a limit, actions missing required proof, actions with stale evidence, actions approved by the wrong person, actions redirected after approval. The engagement is judged on whether those fail closed, and on whether a reviewer can reconstruct why.
What we hand back
- A control map from your governing documents to enforced checks.
- The negative-control test suite and its results.
- Measured review, authorization, and exception times.
- Sample Decision Records and one replayed lifecycle.
- An audit package your own reviewers can assess.
- A written statement of what did not work.
Engagement structure
Bounded on purpose, so procurement can read it in one pass.
- Duration
- Six weeks, from kickoff to the delivered evidence pack.
- Scope
- One existing capital-related workflow. Not a platform-wide rollout.
- Operating mode
- Historical replay of past decisions, then live shadow observation alongside your current process.
- Capital boundary
- No custody, no execution, no capital movement, and no customer-capital routing at any point.
- Engagement fee
- A fixed fee agreed before kickoff. It is a deployment fee — never a performance fee and never a share of assets.
- Conversion
- Credited in whole or in part against the first annual agreement if you convert.
- Your commitment
- An executive sponsor, the workflow owner, your governing policies, a set of sample decisions, and a weekly review.
- Our commitment
- Deployment, control mapping, the negative-control test suite, the measured results, and the audit package.
- Exit options
- Convert to a production agreement, extend the shadow deployment, or stop — and keep the delivered evidence pack either way.
A reduced or waived fee is available only where the engagement carries equivalent value in the other direction — a named reference, an attributable quote, or a documented conversion timetable — agreed in writing before kickoff rather than assumed afterwards.
Where to start
Pick one workflow. Not five.
The engagement is scoped to a single workflow because a control proven on one real decision path is worth more than a survey of five. These are the starting points that have the clearest evidence trail.
Research to investment committee
The handoff where a research output becomes a committee item, with the evidence and required approvals attached rather than reconstructed.
Advisor proposal and suitability review
A client-facing proposal held until the documentation the firm requires is attached by a person.
Alternative or private-deal diligence approval
A lower-frequency, higher-consequence approval where the evidence trail matters more than throughput.
Mandate or concentration exception
The exception path itself — who may grant it, on what evidence, for how long, and what record survives.
How it is judged
Twelve measures, agreed before we start.
These are recorded from your engagement, not from a benchmark. We publish no cross-customer averages and make no claim about what your numbers will be.
Actions with an authenticated calling identity
Whether every proposal can be attributed to a specific caller.
Actions with complete evidence lineage
Whether the proof behind a decision is present and bound at decision time.
Policy-violation detection rate
How much of the deliberately-invalid test set the controls caught.
Unauthorized-action refusal rate
Whether the negative controls actually failed closed.
Actions with a named accountable human
Whether authority is attributable rather than assumed.
Median authorization and review time
What the control costs in elapsed time.
Change in manual review time
Whether the control removed handoffs or added them.
Exception-resolution time
How long the hardest cases sit unresolved.
Replay completeness
Whether each decision can be reconstructed from its record alone.
Unlogged-action count
Whether anything reached an outcome without a record. The target is zero.
Time to deploy
What integration actually costs your team.
Acceptance of the generated audit record
Whether your own reviewers regard the output as usable evidence.
The boundary
What the engagement never does.
This is the part worth reading twice, because it does not change under any engagement tier. SigmaX is not a broker, custodian, transfer agent, execution venue, or capital router, and a design-partner engagement does not make it one.
- No custody of client or firm assets, at any point.
- No trade execution, order submission, or transfer of funds.
- No live allocation and no routing of customer capital.
- No autonomous approval — a named human authorizes, always.
- No investment, legal, tax, or compliance advice, and no suitability determination on your behalf.
- No production capital movement during the engagement, under any configuration.
Deployment, data handling, and access are scoped in writing before kickoff. Our current third-party assurance status is stated exactly on the security page — including what has not been done yet.
Compliance disclaimer
SigmaX provides capital decision intelligence, scenario analysis, and authority workflow software. SigmaX does not provide investment advice. SigmaX does not place trades, move funds, route customer capital, or manage client capital. Shadow/simulated/paper/backtested results are not live trading results. No result is a guarantee of future performance. Human approval is required before any capital-linked action.
Where SigmaX uses AI, it is governed as assistive software: truthful capability claims, human oversight, traceable records, disclosure of AI assistance, and no capital authority. SigmaX designs AI controls with reference to applicable securities obligations, FINRA existing-rule guidance, SEC AI-claims discipline, NIST AI RMF-style risk management, and EU AI Act transparency readiness. This is compliance-readiness design, not a claim that every deployment or jurisdiction-specific use has completed legal review.
Start with a thirty-minute workflow review.
Bring one workflow where a proposed capital action needs evidence, a mandate check, and a named approver. We will tell you plainly whether it is a good first candidate — and whether it is not.