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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
HYS icon
401
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund
HYS
$1.73B
$540K 0.04%
5,321
+5
+0.1% +$506
NVS icon
402
Novartis
NVS
$295B
$540K 0.04%
7,020
+298
+4% +$22.5K
X
403
DELISTED
US Steel
X
$538K 0.04%
20,968
+11,306
+117% +$277K
RPM icon
404
RPM International
RPM
$13.7B
$537K 0.04%
10,455
-74
-0.7% -$3.79K
ILF icon
405
iShares Latin America 40 ETF
ILF
$3.77B
$533K 0.04%
+15,202
New +$513K
FEX icon
406
First Trust Large Cap Core AlphaDEX Fund
FEX
$1.58B
$532K 0.04%
9,687
-1,308
-12% -$70.3K
XAR icon
407
State Street SPDR S&P Aerospace & Defense ETF
XAR
$6.07B
$530K 0.04%
6,641
+994
+18% +$74.3K
IP icon
408
International Paper
IP
$22.3B
$528K 0.04%
9,817
-176
-2% -$9.25K
CMI icon
409
Cummins
CMI
$91.7B
$526K 0.04%
3,131
– –
LUV icon
410
Southwest Airlines
LUV
$22.1B
$526K 0.04%
9,404
-28,527
-75% -$1.6M
TWTR
411
DELISTED
Twitter, Inc.
TWTR
$526K 0.04%
31,173
+2,002
+7% +$35K
APD icon
412
Air Products & Chemicals
APD
$66.3B
$523K 0.04%
3,455
+830
+32% +$122K
IWV icon
413
iShares Russell 3000 ETF
IWV
$19.5B
$521K 0.04%
3,489
+191
+6% +$27.9K
BTI icon
414
British American Tobacco
BTI
$132B
$519K 0.04%
+8,310
New +$536K
BSJI
415
DELISTED
Invesco BulletShares 2018 High Yield Corporate Bond ETF
BSJI
$519K 0.04%
20,502
-6,102
-23% -$154K
FFC
416
Flaherty & Crumrine Preferred and Income Securities Fund
FFC
$768M
$517K 0.04%
24,154
-260
-1% -$5.52K
IYM icon
417
iShares US Basic Materials ETF
IYM
$1.16B
$516K 0.04%
5,389
-6,502
-55% -$601K
CAH icon
418
Cardinal Health
CAH
$53.4B
$515K 0.04%
+7,689
New +$544K
RDS.B
419
DELISTED
Royal Dutch Shell PLC ADS Class B
RDS.B
$515K 0.04%
8,228
-238
-3% -$13.7K
CAG icon
420
Conagra Brands
CAG
$7.07B
$514K 0.04%
15,240
+8,361
+122% +$284K
DLTR icon
421
Dollar Tree
DLTR
$23.1B
$514K 0.04%
5,922
+356
+6% +$27.2K
CMS icon
422
CMS Energy
CMS
$23.1B
$512K 0.04%
11,059
-99
-0.9% -$4.67K
ARI
423
Apollo Commercial Real Estate
ARI
$887M
$511K 0.04%
28,215
+2,145
+8% +$38.8K
FLTR icon
424
VanEck IG Floating Rate ETF
FLTR
$2.93B
$511K 0.04%
20,217
-3,273
-14% -$82.6K
PWB icon
425
Invesco Large Cap Growth ETF
PWB
$2.29B
$511K 0.04%
13,116
+915
+7% +$34.3K
15 16
17
18 19

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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.