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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
OEF icon
551
iShares S&P 100 ETF
OEF
$19.8B
$773K 0.03%
4,757
+82
+2% +$14.9K
B
552
Barrick Mining
B
$62.2B
$772K 0.03%
49,774
-495
-1% -$7.81K
PANW icon
553
Palo Alto Networks
PANW
$264B
$772K 0.03%
9,424
+3,502
+59% +$303K
SHEL icon
554
Shell
SHEL
$245B
$770K 0.03%
15,464
-317
-2% -$16.3K
SHOP icon
555
Shopify
SHOP
$148B
$769K 0.03%
28,542
+3,402
+14% +$116K
AXON
556
Axon Enterprise
AXON
$40.5B
$766K 0.03%
+6,619
New +$750K
CARR icon
557
Carrier Global
CARR
$57.2B
$765K 0.03%
21,509
-1,780
-8% -$70.1K
JETS icon
558
US Global Jets ETF
JETS
$802M
$764K 0.03%
50,932
-854
-2% -$14.9K
OKE icon
559
Oneok
OKE
$58.7B
$760K 0.03%
14,834
+1,749
+13% +$104K
SWK icon
560
Stanley Black & Decker
SWK
$14.2B
$758K 0.03%
10,080
+2,416
+32% +$232K
XLRE icon
561
State Street Real Estate Select Sector SPDR ETF
XLRE
$8.69B
$758K 0.03%
21,057
-10,353
-33% -$434K
FMB icon
562
First Trust Managed Municipal ETF
FMB
$2.03B
$756K 0.03%
15,510
-332
-2% -$16.9K
PSEP icon
563
Innovator US Equity Power Buffer ETF September
PSEP
$842M
$755K 0.03%
27,156
+3,960
+17% +$115K
VEEV icon
564
Veeva Systems
VEEV
$30.3B
$753K 0.03%
4,569
+96
+2% +$19.2K
VMI icon
565
Valmont Industries
VMI
$9.44B
$751K 0.03%
2,794
+78
+3% +$20.6K
FCX icon
566
Freeport-McMoran
FCX
$90B
$750K 0.03%
27,438
-947
-3% -$27.7K
DOCN icon
567
DigitalOcean
DOCN
$14.4B
$744K 0.03%
20,577
+3,667
+22% +$154K
DSI icon
568
iShares MSCI KLD 400 Social ETF
DSI
$5.19B
$743K 0.03%
11,101
-144
-1% -$10.8K
DTM icon
569
DT Midstream
DTM
$14.9B
$743K 0.03%
14,320
+682
+5% +$36.8K
CINF icon
570
Cincinnati Financial
CINF
$28.3B
$738K 0.03%
8,244
-923
-10% -$95.1K
HMOP icon
571
Hartford Municipal Opportunities ETF
HMOP
$777M
$738K 0.03%
20,240
-1,202
-6% -$45.7K
CL icon
572
Colgate-Palmolive
CL
$72.6B
$737K 0.03%
10,486
+675
+7% +$52.9K
FDRR icon
573
Fidelity Dividend ETF for Rising Rates
FDRR
$732M
$736K 0.03%
20,737
+100
+0.5% +$3.98K
KNG icon
574
FT Vest S&P 500 Dividend Aristocrats Target Income ETF
KNG
$3.4B
$736K 0.03%
16,151
+5,073
+46% +$257K
NULG icon
575
Nuveen ESG Large-Cap Growth ETF
NULG
$2.67B
$736K 0.03%
15,971
-17
-0.1% -$874
21 22
23
24 25

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SL
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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.