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SPC

Sigma Planning Corp Portfolio holdings

AUM $3.6B
1-Year Est. Return 24.57%
This Fund
S&P 500
This Quarter Est. Return
+3.99%
1 Year Est. Return
+24.57%
3 Year Est. Return
+69.88%
5 Year Est. Return
+82.98%
10 Year Est. Return
+301.75%
AUM
$1.21B
AUM Growth
+$148M
Cap. Flow
+$110M
Cap. Flow %
9.07%
Top 10 Hldgs %
19.82%
Holding
899
New
109
Increased
447
Reduced
277
Closed
52

Top Buys

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$15M
2
IVW icon
iShares S&P 500 Growth ETF
IVW
+$9.39M
3
IUSV icon
iShares Core S&P US Value ETF
IUSV
+$6.58M
4
IJH icon
iShares Core S&P Mid-Cap ETF
IJH
+$5.08M
5
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$4.82M

Top Sells

Rank Stock Value
1
EFV icon
iShares MSCI EAFE Value ETF
EFV
+$8.5M
2
VNQ icon
Vanguard Real Estate ETF
VNQ
+$7.19M
3
IUSG icon
iShares Core S&P US Growth ETF
IUSG
+$4.35M
4
FENY icon
Fidelity MSCI Energy Index ETF
FENY
+$3.23M
5
DD icon
DuPont de Nemours
DD
+$2.81M

Sector Composition

Rank Sector Weight
1 Technology 6.02%
2 Healthcare 4.77%
3 Financials 4.73%
4 Industrials 4.48%
5 Consumer Staples 4%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LQDH icon
301
iShares Interest Rate Hedged Corporate Bond ETF
LQDH
$503M
$799K 0.07%
8,307
+480
+6% +$45.8K
BSCL
302
DELISTED
Invesco BulletShares 2021 Corporate Bond ETF
BSCL
$799K 0.07%
37,407
-4,498
-11% -$96.1K
IGIB icon
303
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.3B
$797K 0.07%
14,468
-512
-3% -$28.2K
DOC icon
304
Healthpeak Properties
DOC
$15.4B
$793K 0.07%
28,480
+4,848
+21% +$146K
BSCI
305
DELISTED
Invesco BulletShares 2018 Corporate Bond ETF
BSCI
$793K 0.07%
37,441
-4,651
-11% -$98.6K
DLR icon
306
Digital Realty Trust
DLR
$73.7B
$791K 0.07%
6,685
-1,160
-15% -$134K
BSCJ
307
DELISTED
Invesco BulletShares 2019 Corporate Bond ETF
BSCJ
$790K 0.07%
37,166
-6,191
-14% -$132K
NEAR icon
308
iShares Short Maturity Bond ETF
NEAR
$4.8B
$788K 0.07%
15,671
-282
-2% -$14.2K
IYW icon
309
iShares US Technology ETF
IYW
$23.7B
$787K 0.06%
21,008
-2,960
-12% -$108K
PDP icon
310
Invesco Dorsey Wright Momentum ETF
PDP
$1.5B
$787K 0.06%
16,186
-4,805
-23% -$230K
CL icon
311
Colgate-Palmolive
CL
$72.6B
$784K 0.06%
10,765
+1,836
+21% +$132K
GD icon
312
General Dynamics
GD
$105B
$784K 0.06%
3,814
+370
+11% +$74.1K
BSCK
313
DELISTED
Invesco BulletShares 2020 Corporate Bond ETF
BSCK
$783K 0.06%
36,420
-4,611
-11% -$99.2K
FXO icon
314
First Trust Financials AlphaDEX Fund
FXO
$1.12B
$778K 0.06%
26,227
+17,619
+205% +$512K
CCL icon
315
Carnival Corporation Ltd
CCL
$36.1B
$776K 0.06%
12,023
+296
+3% +$19.8K
DAL icon
316
Delta Air Lines
DAL
$55.9B
$776K 0.06%
16,088
+1,964
+14% +$97.9K
IDU icon
317
iShares US Utilities ETF
IDU
$1.41B
$773K 0.06%
11,634
+402
+4% +$27K
MU icon
318
Micron Technology
MU
$1.04T
$771K 0.06%
19,602
-4,960
-20% -$157K
MORL
319
DELISTED
ETRACS Monthly Pay 2xLeveraged Mortgage REIT ETN
MORL
$771K 0.06%
41,125
+125
+0.3% +$2.27K
IYY icon
320
iShares Dow Jones US ETF
IYY
$2.92B
$770K 0.06%
12,210
+206
+2% +$12.7K
NGG icon
321
National Grid
NGG
$82.7B
$768K 0.06%
13,839
-351
-2% -$19.6K
IWF icon
322
iShares Russell 1000 Growth ETF
IWF
$122B
$767K 0.06%
24,536
-916
-4% -$28K
KIO
323
KKR Income Opportunities Fund
KIO
$450M
$764K 0.06%
42,659
+11,255
+36% +$197K
BSCH
324
DELISTED
Guggenheim BulletShares 2017 Corporate Bond ETF
BSCH
$762K 0.06%
33,700
-237
-0.7% -$5.36K
FSTA icon
325
Fidelity MSCI Consumer Staples Index ETF
FSTA
$1.4B
$743K 0.06%
22,930
-7,375
-24% -$243K
11 12
13
14 15

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BPS
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VPC
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Sigma Planning Corp's Q3 2017 Portfolio in Review

As of Q3 2017, Sigma Planning Corp held 899 positions worth $1.21B, up 14% from $1.06B the previous quarter. Its ten largest holdings account for 20% of the portfolio.

Sigma Planning Corp deployed $110M of net new capital in Q3 2017, opening 109 new positions and adding to 447 existing holdings. Its largest new stake was Invesco Dorsey Wright SmallCap Momentum ETF: 40,931 shares worth $1.94M.

By sector, the portfolio is most concentrated in Technology at 6% of assets, up from 5.7% a quarter earlier, followed by Healthcare and Financials.

On the sell side, the largest reduction was iShares MSCI EAFE Value ETF, an estimated $8.5M trimmed.

  • Sigma Planning Corp's largest Q3 2017 buy was Invesco Dorsey Wright SmallCap Momentum ETF: 40,931 shares worth $1.94M.
  • Sigma Planning Corp added most to iShares Core S&P 500 ETF in Q3 2017, an estimated $15M increase.
  • Sigma Planning Corp's biggest Q3 2017 reduction was iShares MSCI EAFE Value ETF, cutting an estimated $8.5M.
  • Sigma Planning Corp fully exited DuPont de Nemours in Q3 2017, selling an estimated $2.81M.
  • Sigma Planning Corp's ten largest holdings make up 20% of its $1.21B portfolio in Q3 2017.
  • Sigma Planning Corp opened 109 new positions and closed 52 in Q3 2017.
  • Sigma Planning Corp's portfolio value rose 14% quarter-over-quarter to $1.21B.

Based on Sigma Planning Corp's 13F filing for Q3 2017, filed 6 Nov 2017.