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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
-11.6%
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
$1.37B
AUM Growth
-$326M
Cap. Flow
-$109M
Cap. Flow %
-7.95%
Top 10 Hldgs %
20.72%
Holding
1,027
New
79
Increased
349
Reduced
397
Closed
176

Top Buys

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$9.3M
2
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$6.09M
3
FUTY icon
Fidelity MSCI Utilities Index ETF
FUTY
+$4.48M
4
NEE icon
NextEra Energy
NEE
+$3.58M
5
FREL icon
Fidelity MSCI Real Estate Index ETF
FREL
+$3.46M

Top Sells

Rank Stock Value
1
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$9.25M
2
IJT icon
iShares S&P Small-Cap 600 Growth ETF
IJT
+$8.45M
3
IJS icon
iShares S&P Small-Cap 600 Value ETF
IJS
+$8.33M
4
IVW icon
iShares S&P 500 Growth ETF
IVW
+$7.91M
5
ONEQ icon
Fidelity Nasdaq Composite Index ETF
ONEQ
+$5.87M

Sector Composition

Rank Sector Weight
1 Technology 6.61%
2 Financials 4.8%
3 Healthcare 4.66%
4 Industrials 4.14%
5 Consumer Discretionary 4.04%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IWD icon
301
iShares Russell 1000 Value ETF
IWD
$82B
$793K 0.06%
7,143
-239
-3% -$28.6K
VPU
302
Vanguard Utilities ETF
VPU
$8.83B
$782K 0.06%
6,634
+1,103
+20% +$134K
MAIN icon
303
Main Street Capital
MAIN
$4.97B
$774K 0.06%
22,891
-3,885
-15% -$145K
KL
304
DELISTED
Kirkland Lake Gold Ltd Ordinary
KL
$773K 0.06%
29,613
+13,250
+81% +$281K
GS icon
305
Goldman Sachs
GS
$313B
$771K 0.06%
4,617
+691
+18% +$139K
PPL
306
PPL Corp
PPL
$27.3B
$771K 0.06%
27,231
+1,290
+5% +$39.2K
ITW icon
307
Illinois Tool Works
ITW
$81.4B
$769K 0.06%
6,072
-663
-10% -$87.3K
FXO icon
308
First Trust Financials AlphaDEX Fund
FXO
$1.12B
$768K 0.06%
28,421
-5,680
-17% -$168K
IGSB icon
309
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
$22.8B
$764K 0.06%
14,786
+8,878
+150% +$458K
RPG icon
310
Invesco S&P 500 Pure Growth ETF
RPG
$2.04B
$764K 0.06%
38,325
-4,890
-11% -$105K
BLK icon
311
Blackrock
BLK
$164B
$763K 0.06%
1,941
+253
+15% +$104K
VOT icon
312
Vanguard Mid-Cap Growth ETF
VOT
$19B
$758K 0.06%
6,333
-174
-3% -$22.3K
RFDI icon
313
First Trust RiverFront Dynamic Developed International ETF
RFDI
$161M
$755K 0.05%
14,745
-3,444
-19% -$190K
IDU icon
314
iShares US Utilities ETF
IDU
$1.41B
$754K 0.05%
11,238
+6,752
+151% +$465K
FXH icon
315
First Trust Health Care AlphaDEX Fund
FXH
$1.02B
$751K 0.05%
10,904
+1,005
+10% +$76.1K
BX icon
316
Blackstone
BX
$104B
$750K 0.05%
25,167
-4,898
-16% -$162K
IDCC icon
317
InterDigital
IDCC
$6.68B
$746K 0.05%
11,223
-5,417
-33% -$395K
VLO icon
318
Valero Energy
VLO
$89.8B
$746K 0.05%
9,944
+4,815
+94% +$423K
VTR icon
319
Ventas
VTR
$48.9B
$746K 0.05%
12,738
-7,217
-36% -$425K
EFFE
320
DELISTED
Global X JPMorgan Efficiente Index ETF
EFFE
$739K 0.05%
30,062
+5,313
+21% +$135K
AEP icon
321
American Electric Power
AEP
$73.7B
$733K 0.05%
9,803
-2,303
-19% -$173K
FCOM icon
322
Fidelity MSCI Communication Services Index ETF
FCOM
$1.74B
$729K 0.05%
+25,570
New +$774K
IGV icon
323
iShares Expanded Tech-Software Sector ETF
IGV
$13B
$729K 0.05%
20,990
-9,720
-32% -$352K
CIK
324
Credit Suisse Asset Management Income Fund
CIK
$133M
$728K 0.05%
262,963
-45,539
-15% -$135K
DHR icon
325
Danaher
DHR
$135B
$728K 0.05%
7,966
-98
-1% -$8.9K
11 12
13
14 15

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Sigma Planning Corp's Q4 2018 Portfolio in Review

As of Q4 2018, Sigma Planning Corp held 1,027 positions worth $1.37B, down 19% from $1.7B the previous quarter. Its ten largest holdings account for 21% of the portfolio.

Sigma Planning Corp withdrew a net $109M in Q4 2018, closing 176 positions and reducing 397 holdings. Its most notable exit was VictoryShares US Small Cap Volatility Wtd ETF, an estimated $4.21M position sold in full.

By sector, the portfolio is most concentrated in Technology at 6.6% of assets, down from 8.1% a quarter earlier, followed by Financials and Healthcare.

Against the trend, Sigma Planning Corp opened a new position in State Street SPDR Bloomberg 1-3 Month T-Bill ETF worth $2.31M.

  • Sigma Planning Corp's largest Q4 2018 buy was State Street SPDR Bloomberg 1-3 Month T-Bill ETF: 25,302 shares worth $2.31M.
  • Sigma Planning Corp added most to iShares Core S&P 500 ETF in Q4 2018, an estimated $9.3M increase.
  • Sigma Planning Corp's biggest Q4 2018 reduction was iShares Core S&P Small-Cap ETF, cutting an estimated $9.25M.
  • Sigma Planning Corp fully exited VictoryShares US Small Cap Volatility Wtd ETF in Q4 2018, selling an estimated $4.21M.
  • Sigma Planning Corp's ten largest holdings make up 21% of its $1.37B portfolio in Q4 2018.
  • Sigma Planning Corp opened 79 new positions and closed 176 in Q4 2018.
  • Sigma Planning Corp's portfolio value fell 19% quarter-over-quarter to $1.37B.

Based on Sigma Planning Corp's 13F filing for Q4 2018, filed 31 Jan 2019.