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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 | |
|---|---|---|---|---|---|---|---|
301
Columbia EM Core ex-China ETF
XCEM
$1.92B
| $2.53M | 0.07% |
49,258
+3,432
| +7% | +$172K |
2023 Q2
13 quarters
|
|
302
State Street SPDR Bloomberg 1-3 Month T-Bill ETF
BIL
$48.4B
| $2.53M | 0.07% |
27,565
+15,255
| +124% | +$1.4M |
2022 Q2
17 quarters
|
|
303
Capital Group U.S. Small and Mid Cap ETF
CGMM
$3.56B
| $2.52M | 0.07% |
82,727
-56,400
| -41% | -$1.83M |
2025 Q1
6 quarters
|
|
304
General Dynamics
GD
$97.8B
| $2.51M | 0.06% |
7,569
-560
| -7% | -$208K |
2014 Q4
47 quarters
|
|
305
First Trust Structured Credit Income Opportunities ETF
SCIO
$577M
| $2.46M | 0.06% |
123,427
+83,613
| +210% | +$1.71M |
2026 Q1
2 quarters
|
|
306
iShares 7-10 Year Treasury Bond ETF
IEF
$44.6B
| $2.42M | 0.06% |
27,061
-1,233
| -4% | -$114K |
2014 Q4
47 quarters
|
|
307
State Street SPDR Portfolio S&P 500 ETF
SPYM
$183B
| $2.39M | 0.06% |
26,630
-5,413
| -17% | -$484K |
2020 Q2
25 quarters
|
|
308
Innovator Equity Dual Directional 15 Buffer ETF - July
DDFL
$154M
| $2.36M | 0.06% |
109,106
+76,987
| +240% | +$1.65M |
2025 Q3
4 quarters
|
|
309
Return Stacked Bonds & Merger Arbitrage ETF
RSBA
$53.7M
| $2.36M | 0.06% |
119,010
+6,641
| +6% | +$137K |
2025 Q2
5 quarters
|
|
310
T. Rowe Price
TROW
$23.6B
| $2.36M | 0.06% |
22,654
+425
| +2% | +$47.6K |
2016 Q4
39 quarters
|
|
311
American Electric Power
AEP
$69.9B
| $2.36M | 0.06% |
19,860
+1,780
| +10% | +$225K |
2014 Q4
47 quarters
|
|
312
VictoryShares Free Cash Flow ETF
VFLO
$12.3B
| $2.35M | 0.06% |
45,907
+218
| +0.5% | +$11.2K |
2024 Q3
8 quarters
|
|
313
Innovator Equity Dual Directional 15 Buffer ETF - June
DDFZ
$149M
| $2.35M | 0.06% |
118,780
-392
| -0.3% | -$7.68K |
2026 Q2
1 quarter
|
|
314
Snowflake
SNOW
$103B
| $2.34M | 0.06% |
6,892
+4,740
| +220% | +$1.46M |
2024 Q1
10 quarters
|
|
315
Schwab International Equity ETF
SCHF
$68B
| $2.33M | 0.06% |
85,299
-3,621
| -4% | -$101K |
2017 Q4
35 quarters
|
|
316
Seagate
STX
$116B
| $2.31M | 0.06% |
2,532
-283
| -10% | -$242K |
2024 Q1
10 quarters
|
|
317
iShares Expanded Tech Sector ETF
IGM
$10.1B
| $2.31M | 0.06% |
13,678
+1,185
| +9% | +$190K |
2024 Q1
10 quarters
|
|
318
Capital Group Core Equity ETF
CGUS
$12.3B
| $2.31M | 0.06% |
51,930
+3,453
| +7% | +$155K |
2022 Q2
17 quarters
|
|
319
First Trust Cloud Computing ETF
SKYY
$3.1B
| $2.31M | 0.06% |
14,089
+2,320
| +20% | +$355K |
2017 Q4
35 quarters
|
|
320
Vanguard Energy ETF
VDE
$10.4B
| $2.29M | 0.06% |
13,808
-870
| -6% | -$149K |
2020 Q4
23 quarters
|
|
321
Amcor
AMCR
$20.8B
| $2.23M | 0.06% |
53,340
+10,458
| +24% | +$467K |
2019 Q3
28 quarters
|
|
322
First Trust Indxx Aerospace & Defense ETF
MISL
$681M
| $2.19M | 0.06% |
52,561
-1,013
| -2% | -$44.8K |
2024 Q1
10 quarters
|
|
323
CSX Corp
CSX
$93.5B
| $2.17M | 0.06% |
46,598
+7,888
| +20% | +$391K |
2014 Q4
47 quarters
|
|
324
BlackRock Short Maturity Municipal Bond ETF
MEAR
$1.55B
| $2.17M | 0.06% |
43,669
-74
| -0.2% | -$3.71K |
2019 Q3
28 quarters
|
|
325
Stryker
SYK
$124B
| $2.16M | 0.06% |
7,851
-582
| -7% | -$183K |
2014 Q4
47 quarters
|
|
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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.