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Sigma Planning Corp

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
Cap. Flow
-$109M
Cap. Flow %
-2.8%
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
DYNF icon
BlackRock US Equity Factor Rotation ETF
DYNF
+$5.36M
2
VYM icon
Vanguard High Dividend Yield ETF
VYM
+$3.47M
3
LENS icon
Sarmaya Thematic ETF
LENS
+$2.97M
4
VB icon
Vanguard Morningstar Small-Cap ETF
VB
+$2.92M
5
PLTR icon
Palantir
PLTR
+$2.8M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$6.05M
2
JEPQ icon
JPMorgan Nasdaq Equity Premium Income ETF
JEPQ
+$5.64M
3
IDEF icon
BlackRock ETF Trust iShares Defense Industrials and Tech Active ETF
IDEF
+$5.59M
4
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$3.76M
5
VOO icon
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
RDVI icon
426
FT Vest Rising Dividend Achievers Target Income ETF
RDVI
$3.85B
$1.57M 0.04%
56,160
-2,375
-4% -$68.9K
2023 Q4
11 quarters
XONE icon
427
BondBloxx Bloomberg One Year Target Duration US Treasury ETF
XONE
$866M
$1.56M 0.04%
31,803
-2,155
-6% -$106K
2023 Q2
13 quarters
ILCG icon
428
iShares Morningstar Growth ETF
ILCG
$2.94B
$1.56M 0.04%
13,377
-1,157
-8% -$133K
2017 Q3
36 quarters
MGV icon
429
Vanguard Morningstar Mega Cap Value ETF
MGV
$14.2B
$1.56M 0.04%
9,671
-16
-0.2% -$2.64K
2019 Q1
30 quarters
RWJ icon
430
Invesco S&P SmallCap 600 Revenue ETF
RWJ
$2.08B
$1.55M 0.04%
27,564
+667
+2% +$40.1K
2021 Q1
22 quarters
PCAR icon
431
PACCAR
PCAR
$55.7B
$1.55M 0.04%
14,089
+2,024
+17% +$253K
2025 Q4
3 quarters
UTG icon
432
Reaves Utility Income Fund
UTG
$3.14B
$1.55M 0.04%
44,947
+7,661
+21% +$294K
2019 Q1
30 quarters
ROK icon
433
Rockwell Automation
ROK
$43.2B
$1.54M 0.04%
3,535
+41
+1% +$18.2K
2016 Q1
42 quarters
EFG icon
434
iShares MSCI EAFE Growth ETF
EFG
$15.3B
$1.53M 0.04%
38,619
-2,019
-5% -$82.5K
2018 Q2
33 quarters
IDCC icon
435
InterDigital
IDCC
$7.57B
$1.53M 0.04%
4,685
-95
-2% -$29.7K
2014 Q4
47 quarters
FTQI icon
436
First Trust Exchange-Traded Fund VI First Trust Hedged BuyWrite Income ETF
FTQI
$990M
$1.53M 0.04%
68,919
+1,861
+3% +$41.1K
2025 Q3
4 quarters
PGC icon
437
Peapack-Gladstone Financial
PGC
$825M
$1.53M 0.04%
35,000
+30,000
+600% +$1.37M
2026 Q2
1 quarter
VICI icon
438
VICI Properties
VICI
$27.7B
$1.53M 0.04%
66,395
-1,862
-3% -$48K
2021 Q3
20 quarters
IALT icon
439
iShares Systematic Alternatives Active ETF
IALT
$5.49B
$1.52M 0.04%
50,841
+35,546
+232% +$1.03M
2026 Q2
1 quarter
UNP icon
440
Union Pacific
UNP
$176B
$1.51M 0.04%
5,560
+1,231
+28% +$358K
2014 Q4
47 quarters
KNSA icon
441
Kiniksa Pharmaceuticals
KNSA
$7.76B
$1.5M 0.04%
20,100
-50
-0.2% -$3.68K
2026 Q2
1 quarter
FITB icon
442
Fifth Third Bancorp
FITB
$49.1B
$1.5M 0.04%
29,572
+7,012
+31% +$390K
2020 Q1
26 quarters
MNST icon
443
Monster Beverage
MNST
$89.3B
$1.49M 0.04%
35,807
+19,225
+116% +$890K
2023 Q3
12 quarters
BBY icon
444
Best Buy
BBY
$22.3B
$1.49M 0.04%
16,882
-117
-0.7% -$10.1K
2026 Q2
1 quarter
B icon
445
Barrick Mining
B
$69.6B
$1.49M 0.04%
36,826
-739
-2% -$30.3K
2018 Q4
31 quarters
CCI icon
446
Crown Castle
CCI
$37.4B
$1.49M 0.04%
+22,308
New +$1.67M
2026 Q3
0 quarters
IAG icon
447
IAMGOLD
IAG
$11.2B
$1.48M 0.04%
80,462
+38,802
+93% +$693K
2026 Q1
2 quarters
DIS icon
448
Walt Disney
DIS
$206B
$1.47M 0.04%
14,022
-3,645
-21% -$373K
2014 Q4
47 quarters
FTHI icon
449
First Trust Exchange-Traded Fund VI First Trust BuyWrite Income ETF
FTHI
$2.53B
$1.46M 0.04%
61,921
+1,597
+3% +$38.1K
2025 Q3
4 quarters
QQQI icon
450
NEOS Nasdaq 100 High Income ETF
QQQI
$14.7B
$1.46M 0.04%
26,221
+5,440
+26% +$297K
2025 Q3
4 quarters
16 17
18
19 20

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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.