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Sigma Planning Corp

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
Cap. Flow
-$109M
Cap. Flow %
-2.8%
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
DYNF icon
BlackRock US Equity Factor Rotation ETF
DYNF
+$5.36M
2
VYM icon
Vanguard High Dividend Yield ETF
VYM
+$3.47M
3
LENS icon
Sarmaya Thematic ETF
LENS
+$2.97M
4
VB icon
Vanguard Morningstar Small-Cap ETF
VB
+$2.92M
5
PLTR icon
Palantir
PLTR
+$2.8M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$6.05M
2
JEPQ icon
JPMorgan Nasdaq Equity Premium Income ETF
JEPQ
+$5.64M
3
IDEF icon
BlackRock ETF Trust iShares Defense Industrials and Tech Active ETF
IDEF
+$5.59M
4
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$3.76M
5
VOO icon
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
HON icon
276
Honeywell
HON
$72.6B
$2.86M 0.07%
13,558
+699
+5% +$156K
2014 Q4
47 quarters
GDX icon
277
VanEck Gold Miners ETF
GDX
$28.2B
$2.85M 0.07%
32,799
-3,979
-11% -$348K
2015 Q1
46 quarters
FSK icon
278
FS KKR Capital
FSK
$3.24B
$2.85M 0.07%
258,954
+134,416
+108% +$1.54M
2020 Q3
24 quarters
DFAT icon
279
U.S. Targeted Value Portfolio ETF Class Shares
DFAT
$14.5B
$2.84M 0.07%
42,819
+488
+1% +$34.4K
2023 Q4
11 quarters
FENI icon
280
Fidelity Enhanced International ETF
FENI
$11.7B
$2.83M 0.07%
70,797
-2,837
-4% -$116K
2024 Q3
8 quarters
MRVL icon
281
Marvell Technology
MRVL
$139B
$2.8M 0.07%
10,707
-491
-4% -$110K
2020 Q1
26 quarters
NOBL icon
282
ProShares S&P 500 Dividend Aristocrats ETF
NOBL
$12.3B
$2.8M 0.07%
51,584
-10
-0% -$571
2014 Q4
47 quarters
VLO icon
283
Valero Energy
VLO
$99.5B
$2.78M 0.07%
7,171
+29
+0.4% +$9.8K
2014 Q4
47 quarters
MMM icon
284
3M
MMM
$97.3B
$2.77M 0.07%
16,908
-463
-3% -$79K
2014 Q4
47 quarters
FHLC icon
285
Fidelity MSCI Health Care Index ETF
FHLC
$4.03B
$2.77M 0.07%
33,894
-1,989
-6% -$161K
2014 Q4
47 quarters
FCX icon
286
Freeport-McMoran
FCX
$89.5B
$2.76M 0.07%
40,061
-14,778
-27% -$1.01M
2014 Q4
47 quarters
MDT icon
287
Medtronic
MDT
$131B
$2.72M 0.07%
31,570
-4,806
-13% -$424K
2014 Q4
47 quarters
FTLS icon
288
First Trust Long/Short Equity ETF
FTLS
$2.59B
$2.7M 0.07%
35,273
-1,939
-5% -$147K
2024 Q1
10 quarters
FDN icon
289
First Trust Dow Jones Internet Index Fund ETF
FDN
$4.82B
$2.68M 0.07%
9,300
-163
-2% -$46.1K
2014 Q4
47 quarters
FFLG icon
290
Fidelity Fundamental Large Cap Growth ETF
FFLG
$588M
$2.66M 0.07%
78,194
+4,223
+6% +$140K
2024 Q1
10 quarters
LVHI icon
291
Franklin International Low Volatility High Dividend Index ETF
LVHI
$6.49B
$2.63M 0.07%
63,072
-6,226
-9% -$264K
2023 Q1
14 quarters
PRF icon
292
Invesco FTSE RAFI US 1000 ETF
PRF
$10.1B
$2.63M 0.07%
48,351
-104
-0.2% -$5.75K
2014 Q4
47 quarters
FTNT icon
293
Fortinet
FTNT
$90B
$2.62M 0.07%
14,689
+6,762
+85% +$1.1M
2024 Q1
10 quarters
SHYG icon
294
iShares 0-5 Year High Yield Corporate Bond ETF
SHYG
$7.77B
$2.61M 0.07%
63,299
+2,228
+4% +$93.7K
2016 Q1
42 quarters
XLB icon
295
State Street Materials Select Sector SPDR ETF
XLB
$8.53B
$2.6M 0.07%
53,369
+2,419
+5% +$124K
2016 Q2
41 quarters
AFGR icon
296
First Trust Active Factor Large Cap Growth ETF
AFGR
$84.5M
$2.59M 0.07%
+68,323
New +$2.53M
2026 Q3
0 quarters
FXU icon
297
First Trust Utilities AlphaDEX Fund
FXU
$771M
$2.59M 0.07%
58,992
+6,240
+12% +$298K
2024 Q2
9 quarters
IWV icon
298
iShares Russell 3000 ETF
IWV
$20.2B
$2.56M 0.07%
5,948
-1,870
-24% -$808K
2016 Q2
41 quarters
XLG icon
299
Invesco S&P 500 Top 50 ETF
XLG
$11.4B
$2.56M 0.07%
40,312
-3,303
-8% -$205K
2020 Q2
25 quarters
VRT icon
300
Vertiv
VRT
$77.2B
$2.55M 0.07%
10,592
-10,097
-49% -$2.75M
2023 Q3
12 quarters
10 11
12
13 14

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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.