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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
-4.66%
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
$2.62B
AUM Growth
-$254M
Cap. Flow
-$114M
Cap. Flow %
-4.33%
Top 10 Hldgs %
20.41%
Holding
1,363
New
75
Increased
591
Reduced
553
Closed
102

Top Buys

Rank Stock Value
1
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$18.1M
2
PEP icon
PepsiCo
PEP
+$8.37M
3
IVV icon
iShares Core S&P 500 ETF
IVV
+$7.73M
4
PSTP icon
Innovator Power Buffer Step-Up Strategy ETF
PSTP
+$4.94M
5
BALT icon
Innovator Defined Wealth Shield ETF
BALT
+$4.86M

Top Sells

Rank Stock Value
1
GLD icon
SPDR Gold Trust
GLD
+$8.96M
2
UUP icon
Invesco DB US Dollar Index Bullish Fund
UUP
+$6.66M
3
FTGC icon
First Trust Global Tactical Commodity Strategy Fund
FTGC
+$6.62M
4
CDC icon
VictoryShares US EQ Income Enhanced Volatility Wtd ETF
CDC
+$6.14M
5
PSFF icon
Pacer Swan SOS Fund of Funds ETF
PSFF
+$4.28M

Sector Composition

Rank Sector Weight
1 Technology 9.92%
2 Healthcare 5.17%
3 Consumer Discretionary 4.8%
4 Financials 4.33%
5 Consumer Staples 3.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DEO icon
526
Diageo
DEO
$46.2B
$830K 0.03%
4,890
-84
-2% -$15.1K
VONV icon
527
Vanguard Russell 1000 Value ETF
VONV
$20.4B
$828K 0.03%
13,879
-866
-6% -$57K
CARZ icon
528
First Trust Exchange-Traded Fund II First Trust S-Network Future Vehicles & Technology ETF
CARZ
$45.6M
$827K 0.03%
20,410
-51
-0.2% -$2.41K
AMLP icon
529
Alerian MLP ETF
AMLP
$13B
$824K 0.03%
22,531
-2,857
-11% -$109K
DFAI
530
Dimensional International Core Equity Market ETF
DFAI
$17.1B
$824K 0.03%
38,188
+3,631
+11% +$87.4K
CGDV icon
531
Capital Group Dividend Value ETF
CGDV
$36.6B
$821K 0.03%
40,208
+8,991
+29% +$204K
BUFD icon
532
FT Vest Fund of Deep Buffer ETFs
BUFD
$1.93B
$820K 0.03%
42,897
+2,095
+5% +$41.6K
TJX icon
533
TJX Companies
TJX
$170B
$815K 0.03%
13,113
+1,322
+11% +$83K
VCLT icon
534
Vanguard Long-Term Corporate Bond ETF
VCLT
$8.83B
$814K 0.03%
11,115
+1,169
+12% +$94.8K
USB icon
535
US Bancorp
USB
$99.6B
$813K 0.03%
20,162
+67
+0.3% +$3.1K
EXC icon
536
Exelon
EXC
$48.6B
$807K 0.03%
21,554
+1,276
+6% +$56.4K
BSBE
537
DELISTED
Invesco BulletShares 2022 USD Emerging Markets Debt ETF
BSBE
$802K 0.03%
33,560
-1,035
-3% -$24.8K
PHYS icon
538
Sprott Physical Gold
PHYS
$14.6B
$801K 0.03%
62,563
+1,154
+2% +$15.5K
CHI
539
Calamos Convertible Opportunities and Income Fund
CHI
$1.02B
$791K 0.03%
81,890
+2,874
+4% +$33.5K
CELH icon
540
Celsius Holdings
CELH
$6.93B
$790K 0.03%
+26,130
New +$818K
RFI
541
Cohen & Steers Total Return Realty Fund
RFI
$313M
$789K 0.03%
65,334
-4,211
-6% -$58.9K
XMVM icon
542
Invesco S&P MidCap Value with Momentum ETF
XMVM
$499M
$789K 0.03%
20,403
-6,797
-25% -$286K
EEMV icon
543
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
$3.45B
$788K 0.03%
15,541
+4,116
+36% +$225K
PGX icon
544
Invesco Preferred ETF
PGX
$3.84B
$784K 0.03%
65,971
-21,366
-24% -$269K
RA
545
Brookfield Real Assets Income Fund
RA
$703M
$784K 0.03%
45,575
-1,882
-4% -$35.9K
NOW icon
546
ServiceNow
NOW
$102B
$782K 0.03%
10,355
+640
+7% +$57.6K
ONEY icon
547
State Street SPDR Russell 1000 Yield Focus ETF
ONEY
$742M
$781K 0.03%
9,370
-147
-2% -$13.7K
TMUS icon
548
T-Mobile US
TMUS
$193B
$775K 0.03%
5,773
+87
+2% +$12.2K
SMH icon
549
VanEck Semiconductor ETF
SMH
$67.6B
$774K 0.03%
8,366
+508
+6% +$55.4K
CGUS icon
550
Capital Group Core Equity ETF
CGUS
$11.1B
$773K 0.03%
37,907
+16,712
+79% +$375K
20 21
22
23 24

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WB
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SCM
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BPS
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VPC
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ACM
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WWA
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Sigma Planning Corp's Q3 2022 Portfolio in Review

As of Q3 2022, Sigma Planning Corp held 1,363 positions worth $2.62B, down 8.8% from $2.88B the previous quarter. Its ten largest holdings account for 20% of the portfolio.

Sigma Planning Corp withdrew a net $114M in Q3 2022, closing 102 positions and reducing 553 holdings. Its most notable exit was Pacer Swan SOS Fund of Funds ETF, an estimated $4.28M position sold in full.

By sector, the portfolio is most concentrated in Technology at 9.9% of assets, up from 9.7% a quarter earlier, followed by Healthcare and Consumer Discretionary.

Against the trend, Sigma Planning Corp opened a new position in iShares 1-3 Year Treasury Bond ETF worth $17.8M.

  • Sigma Planning Corp's largest Q3 2022 buy was iShares 1-3 Year Treasury Bond ETF: 219,466 shares worth $17.8M.
  • Sigma Planning Corp added most to iShares Core S&P 500 ETF in Q3 2022, an estimated $7.73M increase.
  • Sigma Planning Corp's biggest Q3 2022 reduction was SPDR Gold Trust, cutting an estimated $8.96M.
  • Sigma Planning Corp fully exited Pacer Swan SOS Fund of Funds ETF in Q3 2022, selling an estimated $4.28M.
  • Sigma Planning Corp's ten largest holdings make up 20% of its $2.62B portfolio in Q3 2022.
  • Sigma Planning Corp opened 75 new positions and closed 102 in Q3 2022.
  • Sigma Planning Corp's portfolio value fell 8.8% quarter-over-quarter to $2.62B.

Based on Sigma Planning Corp's 13F filing for Q3 2022, filed 10 Nov 2022.