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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
-3.05%
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
$2.67B
AUM Growth
-$117M
Cap. Flow
+$7.73M
Cap. Flow %
0.29%
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 Technology 11.22%
2 Healthcare 4.66%
3 Consumer Discretionary 4.34%
4 Financials 4.17%
5 Industrials 3.45%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
USTB icon
476
Victory Portfolios II VictoryShares Short-Term Bond ETF
USTB
$2.29B
$966K 0.04%
19,749
+6,117
+45% +$300K
CGXU icon
477
Capital Group International Focus Equity ETF
CGXU
$6.22B
$961K 0.04%
44,197
+5,463
+14% +$126K
DTD icon
478
WisdomTree US Total Dividend Fund
DTD
$1.65B
$952K 0.04%
15,825
-76
-0.5% -$4.75K
DGX icon
479
Quest Diagnostics
DGX
$25.6B
$949K 0.04%
7,785
+67
+0.9% +$8.93K
OEF icon
480
iShares S&P 100 ETF
OEF
$19.8B
$946K 0.04%
4,712
-1,486
-24% -$310K
XCEM icon
481
Columbia EM Core ex-China ETF
XCEM
$1.91B
$945K 0.04%
34,477
+1,137
+3% +$32.4K
JPIB icon
482
JPMorgan International Bond Opportunities ETF
JPIB
$2.09B
$937K 0.04%
20,600
+1,961
+11% +$90.5K
IBDQ
483
DELISTED
iShares iBonds Dec 2025 Term Corporate ETF
IBDQ
$936K 0.04%
38,410
-22,352
-37% -$545K
VMW
484
DELISTED
VMware, Inc
VMW
$932K 0.03%
5,598
+31
+0.6% +$4.96K
DBA icon
485
Invesco DB Agriculture Fund
DBA
$1.23B
$929K 0.03%
43,392
+1,467
+3% +$31.8K
AGZD icon
486
WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund
AGZD
$131M
$923K 0.03%
41,652
-674
-2% -$15K
AEP icon
487
American Electric Power
AEP
$72.7B
$920K 0.03%
12,233
+355
+3% +$28.9K
VTR icon
488
Ventas
VTR
$48.7B
$919K 0.03%
21,805
+2,763
+15% +$124K
DBP icon
489
Invesco DB Precious Metals Fund
DBP
$239M
$913K 0.03%
19,231
+375
+2% +$18.7K
FGD icon
490
First Trust Dow Jones Global Select Dividend Index Fund
FGD
$1.53B
$911K 0.03%
44,209
+465
+1% +$10K
ROP icon
491
Roper Technologies
ROP
$37.1B
$904K 0.03%
1,867
-1
-0.1% -$490
TSPA icon
492
T. Rowe Price US Equity Research ETF
TSPA
$4.17B
$902K 0.03%
+34,312
New +$934K
CFR icon
493
Cullen/Frost Bankers
CFR
$10.3B
$902K 0.03%
9,893
+3,019
+44% +$306K
MELI icon
494
Mercado Libre
MELI
$92.3B
$900K 0.03%
710
-22
-3% -$28K
UTRN
495
DELISTED
Vesper US Large Cap Short-Term Reversal Strategy ETF
UTRN
$894K 0.03%
38,885
+161
+0.4% +$3.88K
DD icon
496
DuPont de Nemours
DD
$18.9B
$892K 0.03%
9,524
-657
-6% -$61.7K
IYF icon
497
iShares US Financials ETF
IYF
$4.68B
$889K 0.03%
11,890
-501
-4% -$38.6K
PHK
498
PIMCO High Income Fund
PHK
$863M
$885K 0.03%
200,155
+1,475
+0.7% +$7.2K
LDSF icon
499
First Trust Low Duration Strategic Focus ETF
LDSF
$161M
$883K 0.03%
48,165
-18,021
-27% -$333K
FEX icon
500
First Trust Large Cap Core AlphaDEX Fund
FEX
$1.58B
$877K 0.03%
10,812
-6,057
-36% -$511K
18 19
20
21 22

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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 Technology at 11% of assets, down from 12% a quarter earlier, followed by Healthcare and Consumer Discretionary.

  • 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.