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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
IRT icon
626
Independence Realty Trust
IRT
$3.92B
$90K 0.01%
12,471
-3,710
-23% -$28.4K
XRDC
627
DELISTED
Crossroads Capital, Inc
XRDC
$90K 0.01%
19,162
+4,434
+30% +$21.5K
RJET
628
DELISTED
REPUBLIC AWYS HLDGS INC
RJET
$90K 0.01%
+15,605
New +$79.5K
GGN
629
GAMCO Global Gold, Natural Resources & Income Trust
GGN
$767M
$86K 0.01%
17,196
-536
-3% -$2.93K
NPTN
630
DELISTED
NEOPHOTONICS CORP
NPTN
$85K 0.01%
+12,500
New +$96.8K
GNW icon
631
Genworth Financial
GNW
$3.8B
$79K 0.01%
17,005
+1,583
+10% +$9.32K
MFA
632
MFA Financial
MFA
$929M
$79K 0.01%
2,911
+73
+3% +$2.14K
PBT
633
Permian Basin Royalty Trust
PBT
$1.36B
$78K 0.01%
12,782
+184
+1% +$1.28K
AWP
634
abrdn Global Premier Properties Fund
AWP
$377M
$73K 0.01%
4,355
+31
+0.7% +$568
CHW
635
Calamos Global Dynamic Income Fund
CHW
$544M
$73K 0.01%
+10,532
New +$83.7K
OVV icon
636
Ovintiv
OVV
$17.5B
$73K 0.01%
2,282
+61
+3% +$2.34K
BDJ icon
637
BlackRock Enhanced Equity Dividend Trust
BDJ
$1.7B
$72K 0.01%
+10,006
New +$76.6K
REED
638
DELISTED
Reeds, Inc. Common Stock
REED
$71K 0.01%
312
+14
+5% +$3.9K
EPM icon
639
Evolution Petroleum
EPM
$137M
$70K 0.01%
+12,619
New +$69.9K
SRGA
640
DELISTED
Surgalign Holdings, Inc. Common Stock
SRGA
$70K 0.01%
+410
New +$78.6K
VALE icon
641
Vale
VALE
$62.9B
$69K 0.01%
16,377
+265
+2% +$1.35K
GAB icon
642
Gabelli Equity Trust
GAB
$1.74B
$65K 0.01%
12,884
-25,407
-66% -$144K
UGAZ
643
DELISTED
VelocityShares 3x Long Natural Gas ETN linked to the S&P GSCI Natural Gas Index ER due February 9, 2
UGAZ
$64K 0.01%
4
+1
+33% +$23.2K
PSLV icon
644
Sprott Physical Silver Trust
PSLV
$11.9B
$63K 0.01%
11,087
+800
+8% +$4.64K
AMCC
645
DELISTED
Applied Micro Circuits Corporation New
AMCC
$63K 0.01%
11,800
-300
-2% -$1.76K
DHY
646
Credit Suisse High Yield Credit Fund
DHY
$238M
$62K 0.01%
27,159
-5,525
-17% -$13.4K
RAS
647
DELISTED
RAIT Financial Trust
RAS
$60K 0.01%
+12,100
New +$66.3K
ERF
648
DELISTED
Enerplus Corporation
ERF
$55K 0.01%
+11,285
New +$71.6K
LYG icon
649
Lloyds Banking Group
LYG
$87.4B
$51K 0.01%
11,102
-1,000
-8% -$5K
GOGL
650
DELISTED
Golden Ocean Group
GOGL
$46K 0.01%
+3,769
New +$64.5K
24 25
26
27 28

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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.