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SPC

Sigma Planning Corp Portfolio holdings

AUM $3.97B
1-Year Est. Return 32.34%
This Fund
S&P 500
This Quarter Est. Return
-3.05%
1 Year Est. Return
+32.34%
3 Year Est. Return
+87.34%
5 Year Est. Return
+99.61%
10 Year Est. Return
+350.72%
AUM
$2.67B
AUM Growth
-$117M
Cap. Flow
-$17.5M
Cap. Flow %
-0.66%
Top 10 Hldgs %
22.23%
Holding
1,324
New
121
Increased
493
Reduced
556
Closed
129

Top Buys

Rank Stock Value
1
XAUG icon
FT Vest US Equity Enhance & Moderate Buffer ETF August
XAUG
+$11M
2
ABBV icon
AbbVie
ABBV
+$5.08M
3
XLI icon
State Street Industrial Select Sector SPDR ETF
XLI
+$4.55M
4
MOAT icon
VanEck Morningstar Wide Moat ETF
MOAT
+$3.89M
5
ABT icon
Abbott
ABT
+$3.79M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$5.16M
2
EFA icon
iShares MSCI EAFE ETF
EFA
+$3.76M
3
AZO icon
AutoZone
AZO
+$3.74M
4
TSLA icon
Tesla
TSLA
+$3.66M
5
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$3.53M

Sector Composition

Rank Sector Weight
1 Miscellaneous 60.58%
2 Technology 11.22%
3 Healthcare 4.68%
4 Consumer Discretionary 4.34%
5 Financials 4.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TSLA icon
26
Tesla
TSLA
$1.41T
$15.5M 0.58%
61,976
-14,243
-19% -$3.66M
IGSB icon
27
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
$23.4B
$15M 0.56%
301,696
+13,306
+5% +$666K
GOOGL icon
28
Alphabet (Google) Class A
GOOGL
$4.19T
$14.7M 0.55%
111,973
-19,123
-15% -$2.47M
SHY icon
29
iShares 1-3 Year Treasury Bond ETF
SHY
$26B
$14.1M 0.53%
173,980
-24,651
-12% -$2M
XLE icon
30
State Street Energy Select Sector SPDR ETF
XLE
$42B
$14M 0.52%
309,128
+14,958
+5% +$654K
USMV icon
31
iShares MSCI USA Min Vol Factor ETF
USMV
$23.6B
$13.3M 0.5%
183,354
-10,946
-6% -$816K
MUB icon
32
iShares National Muni Bond ETF
MUB
$44.4B
$12.9M 0.48%
125,808
+457
+0.4% +$48.2K
JEPI icon
33
JPMorgan Equity Premium Income ETF
JEPI
$45B
$12.8M 0.48%
238,836
+8,712
+4% +$480K
ITOT icon
34
iShares Core S&P Total US Stock Market ETF
ITOT
$94.7B
$12.6M 0.47%
133,780
-20,641
-13% -$2.03M
FTSM icon
35
First Trust Enhanced Short Maturity ETF
FTSM
$6.54B
$12.5M 0.47%
210,486
-50,189
-19% -$2.99M
JNJ icon
36
Johnson & Johnson
JNJ
$644B
$11.9M 0.45%
76,631
-13,313
-15% -$2.2M
JPM icon
37
JPMorgan Chase
JPM
$927B
$11.5M 0.43%
79,118
-6,570
-8% -$985K
LLY icon
38
Eli Lilly
LLY
$1.01T
$11.4M 0.43%
21,241
-1,754
-8% -$904K
FTCS icon
39
First Trust Capital Strength ETF
FTCS
$7.64B
$11.2M 0.42%
151,721
-3,834
-2% -$290K
XLK icon
40
State Street Technology Select Sector SPDR ETF
XLK
$120B
$11.1M 0.42%
135,368
+13,812
+11% +$1.18M
PG icon
41
Procter & Gamble
PG
$341B
$10.9M 0.41%
74,792
-2,501
-3% -$382K
XAUG icon
42
FT Vest US Equity Enhance & Moderate Buffer ETF August
XAUG
$25.6M
$10.9M 0.41%
+366,335
New +$11M
FIXD icon
43
First Trust Smith Opportunistic Fixed Income ETF
FIXD
$3.14B
$10.6M 0.4%
251,871
-35,693
-12% -$1.55M
HD icon
44
Home Depot
HD
$302B
$10.6M 0.4%
34,977
-1,001
-3% -$322K
LMBS icon
45
First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF
LMBS
$6.43B
$10.2M 0.38%
214,949
-34,051
-14% -$1.62M
FHLC icon
46
Fidelity MSCI Health Care Index ETF
FHLC
$3.42B
$10M 0.38%
165,321
-3,111
-2% -$195K
XLV icon
47
State Street Health Care Select Sector SPDR ETF
XLV
$43.5B
$9.92M 0.37%
77,062
-5,416
-7% -$719K
V icon
48
Visa
V
$693B
$9.78M 0.37%
42,505
+4,533
+12% +$1.09M
VTV icon
49
Vanguard Morningstar Value ETF
VTV
$189B
$9.46M 0.35%
68,581
-3,647
-5% -$523K
COST icon
50
Costco
COST
$396B
$9.36M 0.35%
16,558
+233
+1% +$129K
1
2
3 4 5

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Sigma Planning Corp's Q3 2023 Portfolio in Review

As of Q3 2023, Sigma Planning Corp held 1,324 positions worth $2.67B, down 4.2% from $2.78B the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Sigma Planning Corp's Q3 2023 filing shows 121 new, 493 increased, 556 reduced and 129 closed positions. Its largest new stake was FT Vest US Equity Enhance & Moderate Buffer ETF August: 366,335 shares worth $10.9M. The largest sale was Apple, an estimated $5.16M.

By sector, the portfolio is most concentrated in Miscellaneous at 61% of assets, up from 60% a quarter earlier, followed by Technology and Healthcare.

  • Sigma Planning Corp's largest Q3 2023 buy was FT Vest US Equity Enhance & Moderate Buffer ETF August: 366,335 shares worth $10.9M.
  • Sigma Planning Corp added most to AbbVie in Q3 2023, an estimated $5.08M increase.
  • Sigma Planning Corp's biggest Q3 2023 reduction was Apple, cutting an estimated $5.16M.
  • Sigma Planning Corp fully exited FT Vest Gold Strategy Target Income ETF in Q3 2023, selling an estimated $2.89M.
  • Sigma Planning Corp's ten largest holdings make up 22% of its $2.67B portfolio in Q3 2023.
  • Sigma Planning Corp opened 121 new positions and closed 129 in Q3 2023.
  • Sigma Planning Corp's portfolio value fell 4.2% quarter-over-quarter to $2.67B.

Based on Sigma Planning Corp's 13F filing for Q3 2023, filed 6 Nov 2023.