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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
-6.12%
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
$631M
AUM Growth
-$93.2M
Cap. Flow
-$43.6M
Cap. Flow %
-6.91%
Top 10 Hldgs %
19.2%
Holding
790
New
84
Increased
251
Reduced
320
Closed
119

Top Buys

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$7.14M
2
GNL icon
Global Net Lease
GNL
+$3.09M
3
SDS icon
ProShares UltraShort S&P500
SDS
+$2.42M
4
VNQ icon
Vanguard Real Estate ETF
VNQ
+$2.23M
5
FV icon
First Trust Dorsey Wright Focus 5 ETF
FV
+$2.03M

Top Sells

Rank Stock Value
1
VQT
iPath S&P VEQTOR ETN
VQT
+$3.85M
2
AAPL icon
Apple
AAPL
+$3.73M
3
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$3.09M
4
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$2.84M
5
SDY icon
State Street SPDR S&P Dividend ETF
SDY
+$2.84M

Sector Composition

Rank Sector Weight
1 Healthcare 6.11%
2 Technology 5.58%
3 Consumer Staples 5.25%
4 Financials 4.57%
5 Industrials 4.52%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PDT
351
John Hancock Premium Dividend Fund
PDT
$634M
$410K 0.07%
32,638
+282
+0.9% +$3.72K
HPQ icon
352
HP
HPQ
$23.5B
$403K 0.06%
34,620
+6,271
+22% +$81.5K
DE icon
353
Deere & Co
DE
$170B
$401K 0.06%
5,416
+1,134
+26% +$99.8K
RTH icon
354
VanEck Retail ETF
RTH
$248M
$401K 0.06%
+5,450
New +$416K
PTY icon
355
PIMCO Corporate & Income Opportunity Fund
PTY
$2.48B
$399K 0.06%
29,978
-118
-0.4% -$1.64K
PHG icon
356
Philips
PHG
$25.4B
$398K 0.06%
23,719
-1,552
-6% -$28.9K
SABA
357
Saba Capital Income & Opportunities Fund II
SABA
$220M
$398K 0.06%
32,665
-91
-0.3% -$1.19K
PEY icon
358
Invesco High Yield Equity Dividend Achievers ETF
PEY
$1.13B
$397K 0.06%
31,294
-1,763
-5% -$22.9K
VDC icon
359
Vanguard Consumer Staples ETF
VDC
$7.86B
$396K 0.06%
3,264
-249
-7% -$31.6K
IYC icon
360
iShares US Consumer Discretionary ETF
IYC
$1.12B
$394K 0.06%
11,444
-23,908
-68% -$862K
LVLT
361
DELISTED
Level 3 Communications Inc
LVLT
$394K 0.06%
9,007
+220
+3% +$10.6K
CMS icon
362
CMS Energy
CMS
$23.1B
$393K 0.06%
11,116
-758
-6% -$25.6K
SLV icon
363
iShares Silver Trust
SLV
$28.1B
$391K 0.06%
28,164
+2,186
+8% +$31.1K
STON
364
DELISTED
StoneMor Inc.
STON
$391K 0.06%
14,327
+736
+5% +$20.8K
DOG
365
ProShares Short Dow30
DOG
$96.8M
$390K 0.06%
+3,984
New +$376K
ICF icon
366
iShares Select U.S. REIT ETF
ICF
$2.12B
$390K 0.06%
8,426
-7,622
-47% -$355K
PDM
367
Piedmont Realty Trust
PDM
$1.22B
$388K 0.06%
21,707
+1,166
+6% +$20.8K
RPM icon
368
RPM International
RPM
$13.7B
$388K 0.06%
9,267
-67
-0.7% -$3.05K
EMLP icon
369
First Trust North American Energy Infrastructure Fund
EMLP
$4.18B
$384K 0.06%
17,571
-1,540
-8% -$36.8K
FFC
370
Flaherty & Crumrine Preferred and Income Securities Fund
FFC
$768M
$384K 0.06%
20,453
+2,801
+16% +$52.4K
HA
371
DELISTED
Hawaiian Holdings, Inc.
HA
$384K 0.06%
15,550
-1,000
-6% -$23.8K
IVR icon
372
Invesco Mortgage Capital
IVR
$776M
$382K 0.06%
3,118
+194
+7% +$27K
SHW icon
373
Sherwin-Williams
SHW
$78.3B
$380K 0.06%
5,118
-285
-5% -$25K
NEA icon
374
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$3.36B
$379K 0.06%
29,074
+3,145
+12% +$40.6K
IRY
375
DELISTED
SPDR S&P International Health Care Sector
IRY
$378K 0.06%
7,810
-209
-3% -$10.9K
13 14
15
16 17

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Sigma Planning Corp's Q3 2015 Portfolio in Review

As of Q3 2015, Sigma Planning Corp held 790 positions worth $631M, down 13% from $724M the previous quarter. Its ten largest holdings account for 19% of the portfolio.

Sigma Planning Corp withdrew a net $43.6M in Q3 2015, closing 119 positions and reducing 320 holdings. Its most notable exit was Alphabet (Google) Class C, an estimated $2.72M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 6.1% of assets, down from 6.5% a quarter earlier, followed by Technology and Consumer Staples.

Against the trend, Sigma Planning Corp opened a new position in Global Net Lease worth $3.33M.

  • Sigma Planning Corp's largest Q3 2015 buy was Global Net Lease: 120,845 shares worth $3.33M.
  • Sigma Planning Corp added most to iShares Core S&P 500 ETF in Q3 2015, an estimated $7.14M increase.
  • Sigma Planning Corp's biggest Q3 2015 reduction was iPath S&P VEQTOR ETN, cutting an estimated $3.85M.
  • Sigma Planning Corp fully exited Alphabet (Google) Class C in Q3 2015, selling an estimated $2.72M.
  • Sigma Planning Corp's ten largest holdings make up 19% of its $631M portfolio in Q3 2015.
  • Sigma Planning Corp opened 84 new positions and closed 119 in Q3 2015.
  • Sigma Planning Corp's portfolio value fell 13% quarter-over-quarter to $631M.

Based on Sigma Planning Corp's 13F filing for Q3 2015, filed 2 Nov 2015.