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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
-6.12%
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
$631M
AUM Growth
-$93.2M
Cap. Flow
-$43.6M
Cap. Flow %
-6.91%
Top 10 Hldgs %
19.2%
Holding
790
New
84
Increased
251
Reduced
320
Closed
119

Top Buys

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$7.14M
2
GNL icon
Global Net Lease
GNL
+$3.09M
3
SDS icon
ProShares UltraShort S&P500
SDS
+$2.42M
4
VNQ icon
Vanguard Real Estate ETF
VNQ
+$2.23M
5
FV icon
First Trust Dorsey Wright Focus 5 ETF
FV
+$2.03M

Top Sells

Rank Stock Value
1
VQT
iPath S&P VEQTOR ETN
VQT
+$3.85M
2
AAPL icon
Apple
AAPL
+$3.73M
3
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$3.09M
4
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$2.84M
5
SDY icon
State Street SPDR S&P Dividend ETF
SDY
+$2.84M

Sector Composition

Rank Sector Weight
1 Healthcare 6.11%
2 Technology 5.58%
3 Consumer Staples 5.25%
4 Financials 4.57%
5 Industrials 4.52%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MZF
426
DELISTED
Managed Duration Inv Grd Muni Fd
MZF
$304K 0.05%
22,795
-3,759
-14% -$50.8K
PGF icon
427
Invesco Financial Preferred ETF
PGF
$676M
$303K 0.05%
16,574
-2,607
-14% -$47.7K
IEI icon
428
iShares 3-7 Year Treasury Bond ETF
IEI
$18.1B
$302K 0.05%
2,424
+65
+3% +$8.03K
PRFZ icon
429
Invesco FTSE RAFI US 1500 Small-Mid ETF
PRFZ
$2.75B
$302K 0.05%
16,500
-9,230
-36% -$181K
KYN icon
430
Kayne Anderson Energy Infrastructure Fund
KYN
$2.52B
$301K 0.05%
12,976
+2,080
+19% +$57.5K
USO icon
431
United States Oil Fund
USO
$2.45B
$301K 0.05%
2,560
+424
+20% +$52.1K
BSJI
432
DELISTED
Invesco BulletShares 2018 High Yield Corporate Bond ETF
BSJI
$300K 0.05%
12,157
+2,342
+24% +$59.4K
CYS
433
DELISTED
CYS Investments Inc.
CYS
$299K 0.05%
41,235
+315
+0.8% +$2.44K
MAIN icon
434
Main Street Capital
MAIN
$4.97B
$298K 0.05%
11,170
-866
-7% -$25.6K
RF icon
435
Regions Financial
RF
$26.3B
$297K 0.05%
32,996
+3
+0% +$30
APU
436
DELISTED
AmeriGas Partners, L.P.
APU
$297K 0.05%
+7,141
New +$319K
BPT
437
DELISTED
BP Prudhoe Bay Royalty Trust
BPT
$295K 0.05%
7,171
-434
-6% -$21.2K
QID icon
438
ProShares UltraShort QQQ
QID
$268M
$292K 0.05%
+98
New +$269K
SLRC icon
439
SLR Investment Corp
SLRC
$706M
$292K 0.05%
18,437
+1,500
+9% +$26.4K
HYLD
440
DELISTED
High Yield ETF
HYLD
$292K 0.05%
8,091
-1,161
-13% -$45K
MXIM
441
DELISTED
Maxim Integrated Products
MXIM
$291K 0.05%
8,699
+392
+5% +$13K
NRF
442
DELISTED
NorthStar Realty Finance Corp.
NRF
$291K 0.05%
11,791
-8,526
-42% -$254K
EXPD icon
443
Expeditors International
EXPD
$22.9B
$290K 0.05%
6,165
-213
-3% -$10.1K
TT icon
444
Trane Technologies
TT
$106B
$289K 0.05%
+5,697
New +$341K
BAB icon
445
Invesco Taxable Municipal Bond ETF
BAB
$1.02B
$287K 0.05%
9,785
+852
+10% +$24.7K
MBLY
446
DELISTED
Mobileye N.V.
MBLY
$287K 0.05%
6,301
-449
-7% -$24.7K
FNV icon
447
Franco-Nevada
FNV
$41.4B
$286K 0.05%
6,492
+294
+5% +$12.7K
QLD icon
448
ProShares Ultra QQQ
QLD
$12.5B
$285K 0.05%
+70,208
New +$321K
LEA icon
449
Lear
LEA
$7.19B
$284K 0.05%
2,610
+363
+16% +$37.8K
BGT icon
450
BlackRock Floating Rate Income Trust
BGT
$322M
$283K 0.04%
22,720
-10,034
-31% -$129K
16 17
18
19 20

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Sigma Planning Corp's Q3 2015 Portfolio in Review

As of Q3 2015, Sigma Planning Corp held 790 positions worth $631M, down 13% from $724M the previous quarter. Its ten largest holdings account for 19% of the portfolio.

Sigma Planning Corp withdrew a net $43.6M in Q3 2015, closing 119 positions and reducing 320 holdings. Its most notable exit was Alphabet (Google) Class C, an estimated $2.72M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 6.1% of assets, down from 6.5% a quarter earlier, followed by Technology and Consumer Staples.

Against the trend, Sigma Planning Corp opened a new position in Global Net Lease worth $3.33M.

  • Sigma Planning Corp's largest Q3 2015 buy was Global Net Lease: 120,845 shares worth $3.33M.
  • Sigma Planning Corp added most to iShares Core S&P 500 ETF in Q3 2015, an estimated $7.14M increase.
  • Sigma Planning Corp's biggest Q3 2015 reduction was iPath S&P VEQTOR ETN, cutting an estimated $3.85M.
  • Sigma Planning Corp fully exited Alphabet (Google) Class C in Q3 2015, selling an estimated $2.72M.
  • Sigma Planning Corp's ten largest holdings make up 19% of its $631M portfolio in Q3 2015.
  • Sigma Planning Corp opened 84 new positions and closed 119 in Q3 2015.
  • Sigma Planning Corp's portfolio value fell 13% quarter-over-quarter to $631M.

Based on Sigma Planning Corp's 13F filing for Q3 2015, filed 2 Nov 2015.