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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
MFIC icon
351
MidCap Financial Investment
MFIC
$784M
$655K 0.05%
35,726
+5,485
+18% +$102K
ISRG icon
352
Intuitive Surgical
ISRG
$121B
$651K 0.05%
+5,598
New +$610K
JPI
353
DELISTED
Nuveen Preferred Securities & Income Opportunities Fund
JPI
$642K 0.05%
25,505
+405
+2% +$10.1K
RWR icon
354
State Street SPDR Dow Jones REIT ETF
RWR
$1.93B
$642K 0.05%
6,937
+57
+0.8% +$5.3K
COR icon
355
Cencora
COR
$60.3B
$634K 0.05%
7,663
-7,058
-48% -$599K
JNK icon
356
State Street SPDR Bloomberg High Yield Bond ETF
JNK
$7.24B
$623K 0.05%
5,562
+200
+4% +$22.3K
RHI icon
357
Robert Half
RHI
$3.61B
$622K 0.05%
12,359
-11,528
-48% -$533K
KRE icon
358
State Street SPDR S&P Regional Banking ETF
KRE
$4.86B
$620K 0.05%
10,922
-1,086
-9% -$58.4K
AOK icon
359
iShares Core Conservative Allocation ETF
AOK
$803M
$616K 0.05%
17,852
-1,867
-9% -$63.9K
JPS
360
DELISTED
Nuveen Preferred & Income Securities Fund
JPS
$615K 0.05%
59,124
+1,056
+2% +$10.8K
BSJJ
361
DELISTED
Invesco BulletShares 2019 High Yield Corporate Bond ETF
BSJJ
$615K 0.05%
24,880
-3,809
-13% -$93.9K
VER
362
DELISTED
VEREIT, Inc.
VER
$613K 0.05%
14,782
-58
-0.4% -$2.45K
BMS
363
DELISTED
Bemis
BMS
$613K 0.05%
13,457
-27
-0.2% -$1.21K
ITW icon
364
Illinois Tool Works
ITW
$81.4B
$612K 0.05%
4,136
+64
+2% +$9.1K
MDLZ icon
365
Mondelez International
MDLZ
$77.7B
$611K 0.05%
15,028
+1,353
+10% +$57.5K
PEY icon
366
Invesco High Yield Equity Dividend Achievers ETF
PEY
$1.13B
$611K 0.05%
35,607
+159
+0.4% +$2.69K
GPP
367
DELISTED
Green Plains Partners LP
GPP
$610K 0.05%
30,335
+3,449
+13% +$66K
DE icon
368
Deere & Co
DE
$170B
$608K 0.05%
4,840
+586
+14% +$72.3K
MON
369
DELISTED
Monsanto Co
MON
$606K 0.05%
5,056
+112
+2% +$13.2K
USA icon
370
Liberty All-Star Equity Fund
USA
$1.75B
$602K 0.05%
99,785
-7,151
-7% -$41.1K
PRF icon
371
Invesco FTSE RAFI US 1000 ETF
PRF
$9.73B
$600K 0.05%
28,005
+1,260
+5% +$26.4K
PEB icon
372
Pebblebrook Hotel Trust
PEB
$2.16B
$599K 0.05%
16,562
+353
+2% +$11.7K
IWB icon
373
iShares Russell 1000 ETF
IWB
$47.7B
$598K 0.05%
4,275
+430
+11% +$59K
ROK icon
374
Rockwell Automation
ROK
$51.4B
$597K 0.05%
3,349
+113
+3% +$18.8K
EMLP icon
375
First Trust North American Energy Infrastructure Fund
EMLP
$4.18B
$588K 0.05%
23,698
-3,003
-11% -$74.7K
13 14
15
16 17

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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.