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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
+2.31%
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
$915M
AUM Growth
+$71.4M
Cap. Flow
+$59.7M
Cap. Flow %
6.52%
Top 10 Hldgs %
17.37%
Holding
832
New
89
Increased
316
Reduced
308
Closed
97

Top Buys

Rank Stock Value
1
IUSV icon
iShares Core S&P US Value ETF
IUSV
+$8.45M
2
DGRO icon
iShares Core Dividend Growth ETF
DGRO
+$7.41M
3
HDV
iShares Core High Dividend ETF
HDV
+$7.4M
4
IWM icon
iShares Russell 2000 ETF
IWM
+$6.26M
5
IUSG icon
iShares Core S&P US Growth ETF
IUSG
+$5.04M

Top Sells

Rank Stock Value
1
IVW icon
iShares S&P 500 Growth ETF
IVW
+$4.63M
2
IEF icon
iShares 7-10 Year Treasury Bond ETF
IEF
+$3.97M
3
RING icon
iShares MSCI Global Gold Miners ETF
RING
+$3.6M
4
IYR icon
iShares US Real Estate ETF
IYR
+$1.86M
5
IJJ icon
iShares S&P Mid-Cap 400 Value ETF
IJJ
+$1.6M

Sector Composition

Rank Sector Weight
1 Technology 5.02%
2 Consumer Staples 4.87%
3 Financials 4.78%
4 Industrials 4.53%
5 Healthcare 4.28%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
OKE icon
376
Oneok
OKE
$58.7B
$457K 0.05%
7,965
-309
-4% -$16.2K
IWF icon
377
iShares Russell 1000 Growth ETF
IWF
$122B
$453K 0.05%
17,288
-1,560
-8% -$40.5K
KSS icon
378
Kohl's
KSS
$2.03B
$452K 0.05%
9,157
+1,444
+19% +$71.5K
PTY icon
379
PIMCO Corporate & Income Opportunity Fund
PTY
$2.48B
$449K 0.05%
31,367
-478
-2% -$6.89K
NVS icon
380
Novartis
NVS
$295B
$446K 0.05%
6,827
-350
-5% -$22.7K
NUM
381
DELISTED
Nuveen Michigan Quality Municipal Income Fund
NUM
$445K 0.05%
33,329
-861
-3% -$11.8K
FFC
382
Flaherty & Crumrine Preferred and Income Securities Fund
FFC
$768M
$443K 0.05%
23,538
+1,164
+5% +$22.8K
BAX icon
383
Baxter International
BAX
$11.6B
$442K 0.05%
9,977
+187
+2% +$8.65K
FLR icon
384
Fluor
FLR
$7.29B
$440K 0.05%
8,369
+719
+9% +$37.3K
MET icon
385
MetLife
MET
$61B
$440K 0.05%
+9,153
New +$420K
TIER
386
DELISTED
TIER REIT, Inc.
TIER
$440K 0.05%
25,299
-3,306
-12% -$51.5K
CMI icon
387
Cummins
CMI
$91.7B
$439K 0.05%
3,208
+253
+9% +$33.9K
CBI
388
DELISTED
Chicago Bridge & Iron Nv
CBI
$438K 0.05%
13,806
-609
-4% -$19.1K
VBK icon
389
Vanguard Small-Cap Growth ETF
VBK
$23.2B
$437K 0.05%
3,282
+230
+8% +$30.1K
XMLV icon
390
Invesco S&P MidCap Low Volatility ETF
XMLV
$759M
$437K 0.05%
10,758
-621
-5% -$24.3K
UDF
391
DELISTED
UNITED DEV FDG IV COM SHS OF BENE INT (TX)
UDF
$437K 0.05%
145,572
+1,656
+1% +$4.97K
PJP icon
392
Invesco Pharmaceuticals ETF
PJP
$425M
$435K 0.05%
7,768
-2,151
-22% -$124K
FEZ icon
393
State Street SPDR EURO STOXX 50 ETF
FEZ
$4.28B
$429K 0.05%
12,820
-3,611
-22% -$117K
OEF icon
394
iShares S&P 100 ETF
OEF
$19.8B
$429K 0.05%
4,316
-13,117
-75% -$1.27M
BSJK
395
DELISTED
Invesco BulletShares 2020 High Yield Corporate Bond ETF
BSJK
$429K 0.05%
17,679
-260
-1% -$6.28K
FTCS icon
396
First Trust Capital Strength ETF
FTCS
$7.88B
$428K 0.05%
10,486
+919
+10% +$37K
GNTX icon
397
Gentex
GNTX
$4.88B
$428K 0.05%
21,727
+800
+4% +$14.6K
ARI
398
Apollo Commercial Real Estate
ARI
$887M
$427K 0.05%
25,679
+734
+3% +$12.3K
ROK icon
399
Rockwell Automation
ROK
$51.4B
$423K 0.05%
3,150
+130
+4% +$16.6K
CLDT
400
Chatham Lodging
CLDT
$630M
$420K 0.05%
20,439
+6,900
+51% +$133K
14 15
16
17 18

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Sigma Planning Corp's Q4 2016 Portfolio in Review

As of Q4 2016, Sigma Planning Corp held 832 positions worth $915M, up 8.5% from $843M the previous quarter. Its ten largest holdings account for 17% of the portfolio.

Sigma Planning Corp deployed $59.7M of net new capital in Q4 2016, opening 89 new positions and adding to 316 existing holdings. Its largest new stake was ProShares Ultra S&P500: 356,808 shares worth $3.4M.

By sector, the portfolio is most concentrated in Technology at 5% of assets, up from 4.9% a quarter earlier, followed by Consumer Staples and Financials.

On the sell side, the largest reduction was iShares S&P 500 Growth ETF, an estimated $4.63M trimmed.

  • Sigma Planning Corp's largest Q4 2016 buy was ProShares Ultra S&P500: 356,808 shares worth $3.4M.
  • Sigma Planning Corp added most to iShares Core S&P US Value ETF in Q4 2016, an estimated $8.45M increase.
  • Sigma Planning Corp's biggest Q4 2016 reduction was iShares S&P 500 Growth ETF, cutting an estimated $4.63M.
  • Sigma Planning Corp fully exited Guggenheim BulletShares 2016 High Yield Corporate Bond ETF in Q4 2016, selling an estimated $1.25M.
  • Sigma Planning Corp's ten largest holdings make up 17% of its $915M portfolio in Q4 2016.
  • Sigma Planning Corp opened 89 new positions and closed 97 in Q4 2016.
  • Sigma Planning Corp's portfolio value rose 8.5% quarter-over-quarter to $915M.

Based on Sigma Planning Corp's 13F filing for Q4 2016, filed 23 Jan 2017.