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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
(-2.2%)
Cap. Flow
-$109M
Cap. Flow % of AUM
Cap. Flow %
-2.8%
Top 10 Holdings %
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 |
BlackRock US Equity Factor Rotation ETF
DYNF
|
+$5.36M |
| 2 |
Vanguard High Dividend Yield ETF
VYM
|
+$3.47M |
| 3 |
Sarmaya Thematic ETF
LENS
|
+$2.97M |
| 4 |
Vanguard Morningstar Small-Cap ETF
VB
|
+$2.92M |
| 5 |
Palantir
PLTR
|
+$2.8M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
Invesco QQQ Trust
QQQ
|
+$6.05M |
| 2 |
JPMorgan Nasdaq Equity Premium Income ETF
JEPQ
|
+$5.64M |
| 3 |
BlackRock ETF Trust iShares Defense Industrials and Tech Active ETF
IDEF
|
+$5.59M |
| 4 |
iShares Core S&P Small-Cap ETF
IJR
|
+$3.76M |
| 5 |
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 | |
|---|---|---|---|---|---|---|---|
526
Teradyne
TER
$38.4B
| $1.17M | 0.03% |
2,919
-2,333
| -44% | -$861K |
2024 Q1
10 quarters
|
|
527
T. Rowe Price Growth Stock ETF
TGRW
$1.08B
| $1.17M | 0.03% |
24,133
+1,379
| +6% | +$65.1K |
2024 Q3
8 quarters
|
|
528
Defiance AI & Power Infrastructure ETF
AIPO
$742M
| $1.16M | 0.03% |
41,097
+1,179
| +3% | +$34.6K |
2025 Q4
3 quarters
|
|
529
First Trust WCM International Equity ETF
WCMI
$2.07B
| $1.16M | 0.03% |
60,718
-2,172
| -3% | -$42.3K |
2026 Q2
1 quarter
|
|
530
FT Vest Nasdaq-100 Conservative Buffer ETF - July
QCJL
$102M
| $1.16M | 0.03% |
44,386
+24,118
| +119% | +$615K |
2025 Q3
4 quarters
|
|
531
KLA
KLAC
$197B
| $1.16M | 0.03% |
5,933
-3,614
| -38% | -$709K |
2024 Q1
10 quarters
|
|
532
LB Pharmaceuticals
LBRX
$1.46B
| $1.15M | 0.03% |
+30,000
| New | +$1.24M |
2026 Q3
0 quarters
|
|
533
iShares Russell Top 200 Growth ETF
IWY
$14.7B
| $1.15M | 0.03% |
3,899
+152
| +4% | +$43.5K |
2019 Q3
28 quarters
|
|
534
T. Rowe Price Blue Chip Growth ETF
TCHP
$2.05B
| $1.15M | 0.03% |
22,342
+538
| +2% | +$27K |
2023 Q3
12 quarters
|
|
535
Quanta Services
PWR
$89.1B
| $1.15M | 0.03% |
1,787
-2,493
| -58% | -$1.61M |
2024 Q1
10 quarters
|
|
536
Innovator US Equity Buffer ETF November
BNOV
$195M
| $1.14M | 0.03% |
23,379
| – | – |
2022 Q4
15 quarters
|
|
537
JPMorgan US Quality Factor ETF
JQUA
$9.7B
| $1.14M | 0.03% |
15,500
-11,449
| -42% | -$841K |
2023 Q4
11 quarters
|
|
538
Targa Resources
TRGP
$58.7B
| $1.14M | 0.03% |
+4,222
| New | +$1.18M |
2026 Q3
0 quarters
|
|
539
AGNC Investment
AGNC
$11.4B
| $1.14M | 0.03% |
125,375
+11,186
| +10% | +$119K |
2018 Q4
31 quarters
|
|
540
Zoetis
ZTS
$33.4B
| $1.14M | 0.03% |
16,272
+3,578
| +28% | +$267K |
2020 Q1
26 quarters
|
|
541
United States Lime & Minerals
USLM
$3.45B
| $1.13M | 0.03% |
10,000
| – | – |
2026 Q2
1 quarter
|
|
542
Semtech
SMTC
$10.9B
| $1.12M | 0.03% |
+6,306
| New | +$893K |
2026 Q3
0 quarters
|
|
543
JPMorgan Income ETF
JPIE
$11.6B
| $1.12M | 0.03% |
24,856
+863
| +4% | +$39.4K |
2022 Q4
15 quarters
|
|
544
Capital Group Dividend Growers ETF
CGDG
$5.97B
| $1.11M | 0.03% |
30,701
-25,017
| -45% | -$957K |
2025 Q3
4 quarters
|
|
545
Amplify CWP Growth & Income ETF
QDVO
$741M
| $1.11M | 0.03% |
37,188
+1,674
| +5% | +$49.7K |
2025 Q4
3 quarters
|
|
546
First Trust Limited Duration Investment Grade Corporate ETF
FSIG
$1.54B
| $1.1M | 0.03% |
59,749
+233
| +0.4% | +$4.37K |
2023 Q1
14 quarters
|
|
547
Norfolk Southern
NSC
$73.2B
| $1.1M | 0.03% |
3,551
+1,204
| +51% | +$399K |
2014 Q4
47 quarters
|
|
548
iShares Core 60/40 Balanced Allocation ETF
AOR
$3.93B
| $1.1M | 0.03% |
15,991
-538
| -3% | -$37.3K |
2023 Q4
11 quarters
|
|
549
BlackRock Flexible Income ETF
BINC
$17.1B
| $1.09M | 0.03% |
21,513
+188
| +0.9% | +$9.7K |
2024 Q1
10 quarters
|
|
550
Defiance Quantum ETF
QTUM
$4.86B
| $1.08M | 0.03% |
7,148
-760
| -10% | -$113K |
2025 Q1
6 quarters
|
|
Similar funds
IP
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.