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Sigma Planning Corp Portfolio holdings
AUM
$3.88B
Turnover
15.86%
1-Year Est. Return
23.38%
Sigma Planning Corporation is an investment advisory firm that serves as a base for financial advisers who want to grow their own practices, offering investment management, financial planning and consulting. It shares ownership with two brokerage firms, Sigma Financial Corporation and Parkland Securities, and most of its advisers also work as brokers for one of them. A trust led by Jerome Rydell, who is chief executive of all three firms, holds the controlling stake. Its clients range from individuals and high net worth individuals to pension plans, charities and government bodies.
This Fund
S&P 500
This Quarter Est. Return
+2.21%
1 Year Est. Return
+23.38%
3 Year Est. Return
+97.51%
5 Year Est. Return
+104.89%
10 Year Est. Return
+349.11%
AUM
$3.88B
AUM Growth
-$88.7M
(-2.2%)
Cap. Flow
-$109M
Cap. Flow % of AUM
Cap. Flow %
-2.8%
Top 10 Holdings %
Top 10 Hldgs %
24.88%
Holding
1,482
New
78
Increased
518
Reduced
682
Closed
157
Avg Time Held
Equity + Options
4.6
years
Top 10 Avg Time Held
Equity + Options
6.7
years
Top 20 Avg Time Held
Equity + Options
4.7
years
Avg Time Held Equity only
4.6
years
Top 10 Avg Time Held Equity only
6.7
years
Top 20 Avg Time Held Equity only
5.1
years
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
BlackRock US Equity Factor Rotation ETF
DYNF
|
+$5.36M |
| 2 |
Vanguard High Dividend Yield ETF
VYM
|
+$3.47M |
| 3 |
Sarmaya Thematic ETF
LENS
|
+$2.97M |
| 4 |
Vanguard Morningstar Small-Cap ETF
VB
|
+$2.92M |
| 5 |
Palantir
PLTR
|
+$2.8M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
Invesco QQQ Trust
QQQ
|
+$6.05M |
| 2 |
JPMorgan Nasdaq Equity Premium Income ETF
JEPQ
|
+$5.64M |
| 3 |
BlackRock ETF Trust iShares Defense Industrials and Tech Active ETF
IDEF
|
+$5.59M |
| 4 |
iShares Core S&P Small-Cap ETF
IJR
|
+$3.76M |
| 5 |
Vanguard S&P 500 ETF
VOO
|
+$3.14M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Miscellaneous | 59.35% |
| 2 | Technology | 16.75% |
| 3 | Financials | 3.9% |
| 4 | Industrials | 3.46% |
| 5 | Healthcare | 3.44% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | Held Since | |
|---|---|---|---|---|---|---|---|
401
First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF
LMBS
$6.61B
| $1.65M | 0.04% |
33,991
-15,206
| -31% | -$752K |
2018 Q2
33 quarters
|
|
402
iShares S&P Mid-Cap 400 Value ETF
IJJ
$8.83B
| $1.65M | 0.04% |
11,995
-41
| -0.3% | -$6.01K |
2014 Q4
47 quarters
|
|
403
First Trust Dow Jones Global Select Dividend Index Fund
FGD
$1.61B
| $1.65M | 0.04% |
49,634
+2,138
| +5% | +$73.8K |
2021 Q1
22 quarters
|
|
404
Blackstone
BX
$99.2B
| $1.64M | 0.04% |
14,636
+10
| +0.1% | +$1.31K |
2019 Q3
28 quarters
|
|
405
First Trust North American Energy Infrastructure Fund
EMLP
$4.16B
| $1.64M | 0.04% |
39,941
-6,628
| -14% | -$290K |
2015 Q1
46 quarters
|
|
406
Capital Group International Focus Equity ETF
CGXU
$6.44B
| $1.64M | 0.04% |
48,013
-24,780
| -34% | -$854K |
2022 Q4
15 quarters
|
|
407
Delta Air Lines
DAL
$60.4B
| $1.63M | 0.04% |
19,580
-174
| -0.9% | -$14.8K |
2014 Q4
47 quarters
|
|
408
iShares Global Tech ETF
IXN
$8.29B
| $1.63M | 0.04% |
11,392
-78
| -0.7% | -$10.9K |
2017 Q3
36 quarters
|
|
409
Federal Realty Investment Trust
FRT
$9.8B
| $1.63M | 0.04% |
15,077
+283
| +2% | +$33.5K |
2020 Q2
25 quarters
|
|
410
LyondellBasell Industries
LYB
$19.2B
| $1.63M | 0.04% |
28,393
+114
| +0.4% | +$6.98K |
2024 Q4
7 quarters
|
|
411
Capital Group International Bond ETF USD-Hedged
CGIB
$386M
| $1.63M | 0.04% |
65,472
+2,071
| +3% | +$52.3K |
2025 Q4
3 quarters
|
|
412
ATI
ATI
$25.1B
| $1.62M | 0.04% |
8,565
+3,631
| +74% | +$725K |
2026 Q1
2 quarters
|
|
413
iShares 0-5 Year Investment Grade Corporate Bond ETF
SLQD
$2.44B
| $1.62M | 0.04% |
32,752
-3,375
| -9% | -$169K |
2024 Q4
7 quarters
|
|
414
Arrow Electronics
ARW
$9.7B
| $1.62M | 0.04% |
7,127
+4,016
| +129% | +$853K |
2026 Q2
1 quarter
|
|
415
FT Vest US Equity Buffer ETF July
FJUL
$1.41B
| $1.62M | 0.04% |
+26,403
| New | +$1.6M |
2026 Q3
0 quarters
|
|
416
WisdomTree US Value Fund
WTV
$3.4B
| $1.6M | 0.04% |
15,642
-339
| -2% | -$36K |
2024 Q3
8 quarters
|
|
417
iShares MSCI EAFE Value ETF
EFV
$31.1B
| $1.6M | 0.04% |
40,838
-7,052
| -15% | -$284K |
2021 Q1
22 quarters
|
|
418
First Trust Innovation Leaders ETF
ILDR
$329M
| $1.6M | 0.04% |
40,400
+461
| +1% | +$17.7K |
2025 Q3
4 quarters
|
|
419
Rio Tinto
RIO
$141B
| $1.6M | 0.04% |
16,940
-137
| -0.8% | -$13.3K |
2025 Q4
3 quarters
|
|
420
Invesco S&P SmallCap Momentum ETF
XSMO
$2.78B
| $1.59M | 0.04% |
19,533
-1,641
| -8% | -$142K |
2024 Q2
9 quarters
|
|
421
Corpay
CPAY
$29.3B
| $1.58M | 0.04% |
4,066
+2,001
| +97% | +$783K |
2026 Q2
1 quarter
|
|
422
FirstEnergy
FE
$27B
| $1.58M | 0.04% |
36,449
-1,439
| -4% | -$67.6K |
2018 Q1
34 quarters
|
|
423
Shell
SHEL
$280B
| $1.57M | 0.04% |
17,121
+7,785
| +83% | +$702K |
2022 Q1
18 quarters
|
|
424
Pennant Group
PNTG
$1.27B
| $1.57M | 0.04% |
+40,330
| New | +$1.6M |
2026 Q3
0 quarters
|
|
425
FT Vest Laddered Moderate Buffer ETF
BUFZ
$1.09B
| $1.57M | 0.04% |
55,637
+26,618
| +92% | +$753K |
2025 Q1
6 quarters
|
|
Similar funds
IP
Sigma Planning Corp's Q3 2026 Portfolio in Review
As of Q3 2026, Sigma Planning Corp held 1,482 positions worth $3.88B, down 2.2% from $3.97B the previous quarter. Its ten largest holdings account for 25% of the portfolio.
Sigma Planning Corp's Q3 2026 filing shows 78 new, 518 increased, 682 reduced and 157 closed positions. Its largest new stake was First Trust Active Factor Large Cap Growth ETF: 68,323 shares worth $2.59M. The largest sale was Invesco QQQ Trust, an estimated $6.05M.
By sector, the portfolio is most concentrated in Miscellaneous at 59% of assets, down from 60% a quarter earlier, followed by Technology and Financials.
- Sigma Planning Corp's largest Q3 2026 buy was First Trust Active Factor Large Cap Growth ETF: 68,323 shares worth $2.59M.
- Sigma Planning Corp added most to BlackRock US Equity Factor Rotation ETF in Q3 2026, an estimated $5.36M increase.
- Sigma Planning Corp's biggest Q3 2026 reduction was Invesco QQQ Trust, cutting an estimated $6.05M.
- Sigma Planning Corp fully exited PIMCO 25+ Year Zero Coupon US Treasury Index Exchange-Traded Fund in Q3 2026, selling an estimated $2.33M.
- Sigma Planning Corp's ten largest holdings make up 25% of its $3.88B portfolio in Q3 2026.
- Sigma Planning Corp opened 78 new positions and closed 157 in Q3 2026.
- Sigma Planning Corp's portfolio value fell 2.2% quarter-over-quarter to $3.88B.
Based on Sigma Planning Corp's 13F filing for Q3 2026, filed 23 Oct 2026.