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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
-4.66%
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
$2.62B
AUM Growth
-$254M
Cap. Flow
-$114M
Cap. Flow %
-4.33%
Top 10 Hldgs %
20.41%
Holding
1,363
New
75
Increased
591
Reduced
553
Closed
102

Top Buys

Rank Stock Value
1
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$18.1M
2
PEP icon
PepsiCo
PEP
+$8.37M
3
IVV icon
iShares Core S&P 500 ETF
IVV
+$7.73M
4
PSTP icon
Innovator Power Buffer Step-Up Strategy ETF
PSTP
+$4.94M
5
BALT icon
Innovator Defined Wealth Shield ETF
BALT
+$4.86M

Top Sells

Rank Stock Value
1
GLD icon
SPDR Gold Trust
GLD
+$8.96M
2
UUP icon
Invesco DB US Dollar Index Bullish Fund
UUP
+$6.66M
3
FTGC icon
First Trust Global Tactical Commodity Strategy Fund
FTGC
+$6.62M
4
CDC icon
VictoryShares US EQ Income Enhanced Volatility Wtd ETF
CDC
+$6.14M
5
PSFF icon
Pacer Swan SOS Fund of Funds ETF
PSFF
+$4.28M

Sector Composition

Rank Sector Weight
1 Technology 9.92%
2 Healthcare 5.17%
3 Consumer Discretionary 4.8%
4 Financials 4.33%
5 Consumer Staples 3.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IYR icon
351
iShares US Real Estate ETF
IYR
$4.59B
$1.38M 0.05%
16,957
-2,644
-13% -$250K
EFG icon
352
iShares MSCI EAFE Growth ETF
EFG
$16.3B
$1.36M 0.05%
18,709
-6,059
-24% -$494K
FNCL icon
353
Fidelity MSCI Financials Index ETF
FNCL
$2.35B
$1.36M 0.05%
31,492
+282
+0.9% +$13.3K
PXD
354
DELISTED
Pioneer Natural Resource Co.
PXD
$1.35M 0.05%
6,255
+2,001
+47% +$457K
MRNA icon
355
Moderna
MRNA
$21.5B
$1.35M 0.05%
11,428
-89
-0.8% -$13.5K
UNM icon
356
Unum
UNM
$13.8B
$1.35M 0.05%
34,781
-3,305
-9% -$121K
FXU icon
357
First Trust Utilities AlphaDEX Fund
FXU
$840M
$1.34M 0.05%
+43,834
New +$1.49M
XLG icon
358
Invesco S&P 500 Top 50 ETF
XLG
$10.5B
$1.33M 0.05%
49,380
-3,170
-6% -$95.6K
FGD icon
359
First Trust Dow Jones Global Select Dividend Index Fund
FGD
$1.51B
$1.32M 0.05%
71,411
-10,129
-12% -$215K
MAIN icon
360
Main Street Capital
MAIN
$4.97B
$1.32M 0.05%
39,246
+434
+1% +$17.9K
VLO icon
361
Valero Energy
VLO
$89.8B
$1.32M 0.05%
12,336
+381
+3% +$41.9K
FTRI icon
362
First Trust Exchange-Traded Fund II First Trust Indxx Global Natural Resources Income ETF
FTRI
$124M
$1.31M 0.05%
107,626
-89,947
-46% -$1.2M
FUTY icon
363
Fidelity MSCI Utilities Index ETF
FUTY
$2.41B
$1.31M 0.05%
31,133
-667
-2% -$31.5K
PZA icon
364
Invesco National AMT-Free Municipal Bond ETF
PZA
$4.19B
$1.31M 0.05%
59,249
-4,112
-6% -$96.5K
CI icon
365
Cigna
CI
$76.6B
$1.31M 0.05%
4,711
+65
+1% +$18.3K
FTXO icon
366
First Trust Nasdaq Bank ETF
FTXO
$305M
$1.31M 0.05%
50,462
+6,666
+15% +$187K
PSX icon
367
Phillips 66
PSX
$82.9B
$1.3M 0.05%
16,172
-431
-3% -$36.7K
CSX icon
368
CSX Corp
CSX
$98.6B
$1.3M 0.05%
48,791
+6,717
+16% +$209K
FLTB icon
369
Fidelity Limited Term Bond ETF
FLTB
$415M
$1.3M 0.05%
27,251
+4,967
+22% +$242K
XYZ
370
Block Inc
XYZ
$45.9B
$1.3M 0.05%
23,569
-1,783
-7% -$126K
FSK icon
371
FS KKR Capital
FSK
$2.98B
$1.29M 0.05%
76,345
-36,992
-33% -$772K
HSY icon
372
Hershey
HSY
$35.4B
$1.28M 0.05%
5,813
-1
-0% -$224
DBC icon
373
Invesco DB Commodity Index Tracking Fund
DBC
$1.73B
$1.28M 0.05%
53,533
-158,691
-75% -$4.03M
CG icon
374
Carlyle Group
CG
$16.3B
$1.28M 0.05%
49,504
+2,857
+6% +$94.1K
PDBC icon
375
Invesco Actively Managed Exch-Traded Commodity Fd Tr Invesco Optimum Yield Diversified Commodity Strategy No K-1 ETF
PDBC
$5.81B
$1.27M 0.05%
78,745
-51,040
-39% -$876K
13 14
15
16 17

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SL
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WB
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SCM
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BPS
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VPC
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ACM
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WWA
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Sigma Planning Corp's Q3 2022 Portfolio in Review

As of Q3 2022, Sigma Planning Corp held 1,363 positions worth $2.62B, down 8.8% from $2.88B the previous quarter. Its ten largest holdings account for 20% of the portfolio.

Sigma Planning Corp withdrew a net $114M in Q3 2022, closing 102 positions and reducing 553 holdings. Its most notable exit was Pacer Swan SOS Fund of Funds ETF, an estimated $4.28M position sold in full.

By sector, the portfolio is most concentrated in Technology at 9.9% of assets, up from 9.7% a quarter earlier, followed by Healthcare and Consumer Discretionary.

Against the trend, Sigma Planning Corp opened a new position in iShares 1-3 Year Treasury Bond ETF worth $17.8M.

  • Sigma Planning Corp's largest Q3 2022 buy was iShares 1-3 Year Treasury Bond ETF: 219,466 shares worth $17.8M.
  • Sigma Planning Corp added most to iShares Core S&P 500 ETF in Q3 2022, an estimated $7.73M increase.
  • Sigma Planning Corp's biggest Q3 2022 reduction was SPDR Gold Trust, cutting an estimated $8.96M.
  • Sigma Planning Corp fully exited Pacer Swan SOS Fund of Funds ETF in Q3 2022, selling an estimated $4.28M.
  • Sigma Planning Corp's ten largest holdings make up 20% of its $2.62B portfolio in Q3 2022.
  • Sigma Planning Corp opened 75 new positions and closed 102 in Q3 2022.
  • Sigma Planning Corp's portfolio value fell 8.8% quarter-over-quarter to $2.62B.

Based on Sigma Planning Corp's 13F filing for Q3 2022, filed 10 Nov 2022.