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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
-6.12%
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
$631M
AUM Growth
-$93.2M
Cap. Flow
-$43.6M
Cap. Flow %
-6.91%
Top 10 Hldgs %
19.2%
Holding
790
New
84
Increased
251
Reduced
320
Closed
119

Top Buys

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$7.14M
2
GNL icon
Global Net Lease
GNL
+$3.09M
3
SDS icon
ProShares UltraShort S&P500
SDS
+$2.42M
4
VNQ icon
Vanguard Real Estate ETF
VNQ
+$2.23M
5
FV icon
First Trust Dorsey Wright Focus 5 ETF
FV
+$2.03M

Top Sells

Rank Stock Value
1
VQT
iPath S&P VEQTOR ETN
VQT
+$3.85M
2
AAPL icon
Apple
AAPL
+$3.73M
3
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$3.09M
4
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$2.84M
5
SDY icon
State Street SPDR S&P Dividend ETF
SDY
+$2.84M

Sector Composition

Rank Sector Weight
1 Healthcare 6.11%
2 Technology 5.58%
3 Consumer Staples 5.25%
4 Financials 4.57%
5 Industrials 4.52%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PCN
601
PIMCO Corporate & Income Strategy Fund
PCN
$870M
$157K 0.02%
11,918
+85
+0.7% +$1.15K
NMFC icon
602
New Mountain Finance
NMFC
$646M
$154K 0.02%
+11,362
New +$165K
CHK
603
DELISTED
Chesapeake Energy Corporation
CHK
$150K 0.02%
102
+18
+21% +$30.6K
HYB
604
DELISTED
New America High Income Fund, Inc.
HYB
$146K 0.02%
18,280
-1,191
-6% -$9.9K
RIG icon
605
Transocean
RIG
$5.92B
$143K 0.02%
11,079
-249
-2% -$3.46K
CRWN
606
DELISTED
CROWN MEDIA HOLDINGS INC CL-A
CRWN
$141K 0.02%
26,300
+800
+3% +$3.85K
NQI
607
DELISTED
NUVEEN QUALITY MUNICIPAL FUND INC
NQI
$139K 0.02%
10,657
+47
+0.4% +$602
SJT
608
San Juan Basin Royalty Trust
SJT
$117M
$135K 0.02%
14,246
+104
+0.7% +$1.08K
WEN icon
609
Wendy's
WEN
$1.33B
$129K 0.02%
14,911
+3,882
+35% +$37.6K
RFI
610
Cohen & Steers Total Return Realty Fund
RFI
$313M
$124K 0.02%
+10,407
New +$128K
CSG
611
DELISTED
CHAMBERS STR PPTYS COM
CSG
$124K 0.02%
19,114
+7,072
+59% +$50.4K
CMO
612
DELISTED
Capstead Mortgage Corp.
CMO
$119K 0.02%
12,051
+50
+0.4% +$542
BB icon
613
BlackBerry
BB
$5.01B
$117K 0.02%
19,011
-1,204
-6% -$8.98K
VTA
614
DELISTED
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND
VTA
$117K 0.02%
+11,048
New +$124K
EWJ icon
615
iShares MSCI Japan ETF
EWJ
$21.7B
$116K 0.02%
2,529
-549
-18% -$27.1K
BBEP
616
DELISTED
BREITBURN ENERGY PARTNERS LP COM UNITS RPTNG LTD PRTNRSHIP
BBEP
$116K 0.02%
57,027
-16,450
-22% -$48.9K
GPM
617
DELISTED
Guggenheim Enhanced Equity Income Fund
GPM
$114K 0.02%
+15,837
New +$125K
MHF
618
Western Asset Municipal High Income Fund
MHF
$151M
$110K 0.02%
15,213
+64
+0.4% +$460
TWER
619
DELISTED
Towerstream Corporation Common Stock
TWER
$108K 0.02%
5,049
-1,479
-23% -$45K
NCZ
620
Virtus Convertible & Income Fund II
NCZ
$292M
$107K 0.02%
5,073
+1,997
+65% +$52K
ADAM
621
Adamas Trust
ADAM
$777M
$106K 0.02%
4,842
+961
+25% +$26.6K
EZPW icon
622
Ezcorp Inc
EZPW
$1.82B
$105K 0.02%
17,034
+1,628
+11% +$10.3K
TULP
623
Bloomia Holdings
TULP
$18.2M
$102K 0.02%
5,757
– –
AHT
624
Ashford Hospitality Trust
AHT
$21M
$95K 0.02%
+16
New +$128K
IGD
625
Voya Global Equity Dividend and Premium Opportunity Fund
IGD
$500M
$94K 0.01%
13,567
+143
+1% +$1.09K
23 24
25
26 27

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ACM
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WWA
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Sigma Planning Corp's Q3 2015 Portfolio in Review

As of Q3 2015, Sigma Planning Corp held 790 positions worth $631M, down 13% from $724M the previous quarter. Its ten largest holdings account for 19% of the portfolio.

Sigma Planning Corp withdrew a net $43.6M in Q3 2015, closing 119 positions and reducing 320 holdings. Its most notable exit was Alphabet (Google) Class C, an estimated $2.72M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 6.1% of assets, down from 6.5% a quarter earlier, followed by Technology and Consumer Staples.

Against the trend, Sigma Planning Corp opened a new position in Global Net Lease worth $3.33M.

  • Sigma Planning Corp's largest Q3 2015 buy was Global Net Lease: 120,845 shares worth $3.33M.
  • Sigma Planning Corp added most to iShares Core S&P 500 ETF in Q3 2015, an estimated $7.14M increase.
  • Sigma Planning Corp's biggest Q3 2015 reduction was iPath S&P VEQTOR ETN, cutting an estimated $3.85M.
  • Sigma Planning Corp fully exited Alphabet (Google) Class C in Q3 2015, selling an estimated $2.72M.
  • Sigma Planning Corp's ten largest holdings make up 19% of its $631M portfolio in Q3 2015.
  • Sigma Planning Corp opened 84 new positions and closed 119 in Q3 2015.
  • Sigma Planning Corp's portfolio value fell 13% quarter-over-quarter to $631M.

Based on Sigma Planning Corp's 13F filing for Q3 2015, filed 2 Nov 2015.