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Sigma Planning Corp Portfolio holdings
AUM
$3.88B
Turnover
15.86%
1-Year Est. Return
23.38%
Sigma Planning Corporation is an investment advisory firm that serves as a base for financial advisers who want to grow their own practices, offering investment management, financial planning and consulting. It shares ownership with two brokerage firms, Sigma Financial Corporation and Parkland Securities, and most of its advisers also work as brokers for one of them. A trust led by Jerome Rydell, who is chief executive of all three firms, holds the controlling stake. Its clients range from individuals and high net worth individuals to pension plans, charities and government bodies.
This Fund
S&P 500
This Quarter Est. Return
+2.21%
1 Year Est. Return
+23.38%
3 Year Est. Return
+97.51%
5 Year Est. Return
+104.89%
10 Year Est. Return
+349.11%
AUM
$3.88B
AUM Growth
-$88.7M
(-2.2%)
Cap. Flow
-$109M
Cap. Flow % of AUM
Cap. Flow %
-2.8%
Top 10 Holdings %
Top 10 Hldgs %
24.88%
Holding
1,482
New
78
Increased
518
Reduced
682
Closed
157
Avg Time Held
Equity + Options
4.6
years
Top 10 Avg Time Held
Equity + Options
6.7
years
Top 20 Avg Time Held
Equity + Options
4.7
years
Avg Time Held Equity only
4.6
years
Top 10 Avg Time Held Equity only
6.7
years
Top 20 Avg Time Held Equity only
5.1
years
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
BlackRock US Equity Factor Rotation ETF
DYNF
|
+$5.36M |
| 2 |
Vanguard High Dividend Yield ETF
VYM
|
+$3.47M |
| 3 |
Sarmaya Thematic ETF
LENS
|
+$2.97M |
| 4 |
Vanguard Morningstar Small-Cap ETF
VB
|
+$2.92M |
| 5 |
Palantir
PLTR
|
+$2.8M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
Invesco QQQ Trust
QQQ
|
+$6.05M |
| 2 |
JPMorgan Nasdaq Equity Premium Income ETF
JEPQ
|
+$5.64M |
| 3 |
BlackRock ETF Trust iShares Defense Industrials and Tech Active ETF
IDEF
|
+$5.59M |
| 4 |
iShares Core S&P Small-Cap ETF
IJR
|
+$3.76M |
| 5 |
Vanguard S&P 500 ETF
VOO
|
+$3.14M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Miscellaneous | 59.35% |
| 2 | Technology | 16.75% |
| 3 | Financials | 3.9% |
| 4 | Industrials | 3.46% |
| 5 | Healthcare | 3.44% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | Held Since | |
|---|---|---|---|---|---|---|---|
226
Schwab Fundamental International Large Company Index ETF
FNDF
$25.9B
| $3.38M | 0.09% |
62,942
-258
| -0.4% | -$14.1K |
2021 Q2
21 quarters
|
|
227
Weitz Core Plus Bond ETF
WCPB
$238M
| $3.38M | 0.09% |
139,428
+18,544
| +15% | +$464K |
2025 Q3
4 quarters
|
|
228
Janus Henderson AAA CLO ETF
JAAA
$32.6B
| $3.37M | 0.09% |
66,835
-21,532
| -24% | -$1.09M |
2023 Q3
12 quarters
|
|
229
JPMorgan Ultra-Short Municipal Income ETF
JMST
$8.42B
| $3.36M | 0.09% |
66,366
+1,438
| +2% | +$73.1K |
2024 Q1
10 quarters
|
|
230
United Parcel Service
UPS
$94.5B
| $3.33M | 0.09% |
36,067
+2,076
| +6% | +$218K |
2014 Q4
47 quarters
|
|
231
State Street Consumer Staples Select Sector SPDR ETF
XLP
$15B
| $3.33M | 0.09% |
41,263
-1,040
| -2% | -$87.9K |
2014 Q4
47 quarters
|
|
232
Qualcomm
QCOM
$183B
| $3.33M | 0.09% |
18,068
-823
| -4% | -$142K |
2014 Q4
47 quarters
|
|
233
JPMorgan Ultra-Short Income ETF
JPST
$42.5B
| $3.32M | 0.09% |
65,931
+6,675
| +11% | +$337K |
2019 Q1
30 quarters
|
|
234
Pacer Aristotle Pacific Floating Rate High Income ETF
FLRT
$1.08B
| $3.31M | 0.09% |
71,244
-10,437
| -13% | -$488K |
2024 Q1
10 quarters
|
|
235
Shopify
SHOP
$196B
| $3.3M | 0.09% |
22,273
-48
| -0.2% | -$6.51K |
2019 Q1
30 quarters
|
|
236
Celestica
CLS
$28.1B
| $3.29M | 0.08% |
9,092
-2,253
| -20% | -$745K |
2024 Q3
8 quarters
|
|
237
Fidelity High Dividend ETF
FDVV
$10.5B
| $3.27M | 0.08% |
53,924
+11,860
| +28% | +$743K |
2018 Q3
32 quarters
|
|
238
Ares Capital
ARCC
$14B
| $3.27M | 0.08% |
171,321
+166
| +0.1% | +$3.22K |
2014 Q4
47 quarters
|
|
239
Vanguard Total Bond Market
BND
$168B
| $3.27M | 0.08% |
46,415
-414
| -0.9% | -$29.8K |
2014 Q4
47 quarters
|
|
240
Intuitive Surgical
ISRG
$163B
| $3.26M | 0.08% |
7,998
+58
| +0.7% | +$22.1K |
2017 Q3
36 quarters
|
|
241
Northrop Grumman
NOC
$76.6B
| $3.23M | 0.08% |
5,694
-106
| -2% | -$57.1K |
2016 Q2
41 quarters
|
|
242
Uber
UBER
$145B
| $3.22M | 0.08% |
45,535
+358
| +0.8% | +$26.2K |
2019 Q4
27 quarters
|
|
243
Vanguard Total International Bond ETF
BNDX
$85.5B
| $3.2M | 0.08% |
68,141
-3,681
| -5% | -$175K |
2017 Q2
37 quarters
|
|
244
Vanguard Russell 1000 Growth ETF
VONG
$43.8B
| $3.19M | 0.08% |
24,745
+9,604
| +63% | +$1.21M |
2024 Q1
10 quarters
|
|
245
Parker-Hannifin
PH
$121B
| $3.18M | 0.08% |
3,331
+2,063
| +163% | +$2.03M |
2023 Q1
14 quarters
|
|
246
Southern Company
SO
$109B
| $3.17M | 0.08% |
38,293
-2,274
| -6% | -$207K |
2014 Q4
47 quarters
|
|
247
TJX Companies
TJX
$152B
| $3.16M | 0.08% |
23,909
+3,006
| +14% | +$434K |
2014 Q4
47 quarters
|
|
248
Prudential Financial
PRU
$41.9B
| $3.16M | 0.08% |
29,901
-517
| -2% | -$61.7K |
2014 Q4
47 quarters
|
|
249
iShares 0-5 Year TIPS Bond ETF
STIP
$16.9B
| $3.15M | 0.08% |
31,616
-3,308
| -9% | -$333K |
2014 Q4
47 quarters
|
|
250
iShares Core S&P US Growth ETF
IUSG
$32.3B
| $3.15M | 0.08% |
16,246
-1,120
| -6% | -$212K |
2016 Q1
42 quarters
|
|
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IP
Sigma Planning Corp's Q3 2026 Portfolio in Review
As of Q3 2026, Sigma Planning Corp held 1,482 positions worth $3.88B, down 2.2% from $3.97B the previous quarter. Its ten largest holdings account for 25% of the portfolio.
Sigma Planning Corp's Q3 2026 filing shows 78 new, 518 increased, 682 reduced and 157 closed positions. Its largest new stake was First Trust Active Factor Large Cap Growth ETF: 68,323 shares worth $2.59M. The largest sale was Invesco QQQ Trust, an estimated $6.05M.
By sector, the portfolio is most concentrated in Miscellaneous at 59% of assets, down from 60% a quarter earlier, followed by Technology and Financials.
- Sigma Planning Corp's largest Q3 2026 buy was First Trust Active Factor Large Cap Growth ETF: 68,323 shares worth $2.59M.
- Sigma Planning Corp added most to BlackRock US Equity Factor Rotation ETF in Q3 2026, an estimated $5.36M increase.
- Sigma Planning Corp's biggest Q3 2026 reduction was Invesco QQQ Trust, cutting an estimated $6.05M.
- Sigma Planning Corp fully exited PIMCO 25+ Year Zero Coupon US Treasury Index Exchange-Traded Fund in Q3 2026, selling an estimated $2.33M.
- Sigma Planning Corp's ten largest holdings make up 25% of its $3.88B portfolio in Q3 2026.
- Sigma Planning Corp opened 78 new positions and closed 157 in Q3 2026.
- Sigma Planning Corp's portfolio value fell 2.2% quarter-over-quarter to $3.88B.
Based on Sigma Planning Corp's 13F filing for Q3 2026, filed 23 Oct 2026.