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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
MDIV icon
376
First Trust Exchange-Traded Fund VI Multi-Asset Diversified Income Index Fund
MDIV
$429M
$1.27M 0.05%
87,675
+2,496
+3% +$39.4K
PAVE icon
377
Global X US Infrastructure Development ETF
PAVE
$14.3B
$1.27M 0.05%
54,911
+674
+1% +$16.9K
IWD icon
378
iShares Russell 1000 Value ETF
IWD
$82B
$1.26M 0.05%
9,255
+448
+5% +$67.3K
LIT icon
379
Global X Lithium & Battery Tech ETF
LIT
$1.49B
$1.25M 0.05%
18,911
+656
+4% +$48.7K
SPEM icon
380
State Street SPDR Portfolio Emerging Markets ETF
SPEM
$17B
$1.25M 0.05%
40,266
-1,027
-2% -$34.9K
COMT icon
381
iShares GSCI Commodity Dynamic Roll Strategy ETF
COMT
$1.19B
$1.25M 0.05%
34,972
-15,004
-30% -$576K
DRSK icon
382
Aptus Defined Risk ETF
DRSK
$1.49B
$1.25M 0.05%
49,196
-32,729
-40% -$869K
FCOM icon
383
Fidelity MSCI Communication Services Index ETF
FCOM
$1.74B
$1.25M 0.05%
39,788
+2,952
+8% +$107K
ZTS icon
384
Zoetis
ZTS
$31.6B
$1.25M 0.05%
8,398
+840
+11% +$140K
IQLT icon
385
iShares MSCI Intl Quality Factor ETF
IQLT
$13.6B
$1.24M 0.05%
44,588
-5,690
-11% -$176K
IVOL icon
386
Quadratic Interest Rate Volatility and Inflation Hedge ETF
IVOL
$274M
$1.24M 0.05%
55,887
+2,470
+5% +$60.2K
BLK icon
387
Blackrock
BLK
$164B
$1.23M 0.05%
2,242
+324
+17% +$212K
IDU icon
388
iShares US Utilities ETF
IDU
$1.41B
$1.23M 0.05%
15,187
+1,052
+7% +$94.7K
IBB icon
389
iShares Biotechnology ETF
IBB
$9.31B
$1.22M 0.05%
10,453
+1,807
+21% +$224K
JEPQ icon
390
JPMorgan Nasdaq Equity Premium Income ETF
JEPQ
$38.9B
$1.22M 0.05%
+29,375
New +$1.38M
XSVM icon
391
Invesco S&P SmallCap Value with Momentum ETF
XSVM
$666M
$1.21M 0.05%
29,473
+15,587
+112% +$726K
CWB icon
392
State Street SPDR Bloomberg Convertible Securities ETF
CWB
$5.64B
$1.21M 0.05%
19,072
+8,155
+75% +$549K
FEM icon
393
First Trust Emerging Markets AlphaDEX Fund
FEM
$745M
$1.2M 0.05%
64,960
+16,236
+33% +$340K
NEAR icon
394
iShares Short Maturity Bond ETF
NEAR
$4.8B
$1.2M 0.05%
24,343
+3,688
+18% +$182K
AGZ icon
395
iShares Agency Bond ETF
AGZ
$553M
$1.2M 0.05%
11,251
+2,182
+24% +$239K
DFEB icon
396
FT Vest US Equity Deep Buffer ETF February
DFEB
$458M
$1.2M 0.05%
36,651
-371
-1% -$12.6K
BX icon
397
Blackstone
BX
$104B
$1.2M 0.05%
14,286
-1,521
-10% -$147K
XEL icon
398
Xcel Energy
XEL
$51B
$1.19M 0.05%
18,608
-93
-0.5% -$6.77K
SNA icon
399
Snap-on
SNA
$20.9B
$1.19M 0.05%
5,883
+3,286
+127% +$708K
FMAT icon
400
Fidelity MSCI Materials Index ETF
FMAT
$585M
$1.17M 0.04%
30,714
-1,410
-4% -$59.5K
14 15
16
17 18

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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.