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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
NLY icon
526
Annaly Capital Management
NLY
$16.9B
$820K 0.03%
43,611
-8,275
-16% -$164K
PLTR icon
527
Palantir
PLTR
$295B
$818K 0.03%
51,135
+14,092
+38% +$224K
EFC
528
Ellington Financial
EFC
$1.68B
$817K 0.03%
65,483
+43,708
+201% +$582K
FTSL icon
529
First Trust Senior Loan Fund ETF
FTSL
$2.31B
$814K 0.03%
17,793
-1,354
-7% -$61.8K
BWA icon
530
BorgWarner
BWA
$13.2B
$812K 0.03%
20,121
-2,861
-12% -$121K
HYT icon
531
BlackRock Corporate High Yield Fund
HYT
$1.36B
$811K 0.03%
94,015
-6,672
-7% -$59.9K
FUMB icon
532
First Trust Ultra Short Duration Municipal ETF
FUMB
$246M
$810K 0.03%
40,679
-7,168
-15% -$143K
CLF icon
533
Cleveland-Cliffs
CLF
$6.81B
$810K 0.03%
51,835
+1,105
+2% +$17.3K
ORLY icon
534
O'Reilly Automotive
ORLY
$72.4B
$810K 0.03%
13,365
-450
-3% -$28.2K
CL icon
535
Colgate-Palmolive
CL
$72.6B
$808K 0.03%
11,366
-433
-4% -$32.4K
TPVG icon
536
TriplePoint Venture Growth BDC
TPVG
$180M
$802K 0.03%
76,661
+16,451
+27% +$188K
PGX icon
537
Invesco Preferred ETF
PGX
$3.84B
$801K 0.03%
73,120
-8,187
-10% -$91.6K
PRU icon
538
Prudential Financial
PRU
$41.7B
$801K 0.03%
8,437
+146
+2% +$13.8K
DSI icon
539
iShares MSCI KLD 400 Social ETF
DSI
$5.19B
$801K 0.03%
9,833
-707
-7% -$59.9K
SCHF icon
540
Schwab International Equity ETF
SCHF
$65.6B
$799K 0.03%
47,058
+3,436
+8% +$60.7K
BAB icon
541
Invesco Taxable Municipal Bond ETF
BAB
$1.02B
$797K 0.03%
31,496
-1,718
-5% -$44.6K
C icon
542
Citigroup
C
$222B
$795K 0.03%
19,326
-1,636
-8% -$71.8K
VXF icon
543
Vanguard Extended Market ETF
VXF
$30.3B
$789K 0.03%
5,507
-599
-10% -$89.8K
CHI
544
Calamos Convertible Opportunities and Income Fund
CHI
$1.02B
$789K 0.03%
74,878
+647
+0.9% +$7.04K
IBHC
545
DELISTED
iShares iBonds 2023 Term High Yield and Income ETF
IBHC
$786K 0.03%
33,232
-1,871
-5% -$44.2K
BUFG icon
546
FT Vest Buffered Allocation Growth ETF
BUFG
$324M
$783K 0.03%
39,782
-3,473
-8% -$70.3K
SPDW icon
547
State Street SPDR Portfolio Developed World ex-US ETF
SPDW
$39.7B
$777K 0.03%
25,043
-564
-2% -$18.2K
DFEB icon
548
FT Vest US Equity Deep Buffer ETF February
DFEB
$458M
$776K 0.03%
22,282
-2,996
-12% -$106K
SWK icon
549
Stanley Black & Decker
SWK
$14.2B
$776K 0.03%
9,278
-159
-2% -$14.7K
VPU
550
Vanguard Utilities ETF
VPU
$8.83B
$771K 0.03%
6,046
-475
-7% -$66.4K
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 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.