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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
+2.4%
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
$3.18B
AUM Growth
-$79.9M
Cap. Flow
-$97.3M
Cap. Flow %
-3.05%
Top 10 Hldgs %
27.03%
Holding
1,277
New
66
Increased
498
Reduced
566
Closed
115

Top Buys

Rank Stock Value
1
MSTB icon
LHA Market State Tactical Beta ETF
MSTB
+$5.36M
2
DUKQ
Ocean Park Domestic ETF
DUKQ
+$5.35M
3
SDVY icon
First Trust SMID Cap Rising Dividend Achievers ETF
SDVY
+$3.6M
4
MGOV icon
First Trust Intermediate Government Opportunities ETF
MGOV
+$2.91M
5
PSFF icon
Pacer Swan SOS Fund of Funds ETF
PSFF
+$2.77M

Top Sells

Rank Stock Value
1
FDEC icon
FT Vest US Equity Buffer ETF December
FDEC
+$16.3M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$9.68M
3
JANW icon
AllianzIM U.S. Equity Buffer20 Jan ETF
JANW
+$7.37M
4
FIXD icon
First Trust Smith Opportunistic Fixed Income ETF
FIXD
+$4.97M
5
AMZN icon
Amazon
AMZN
+$4.83M

Sector Composition

Rank Sector Weight
1 Technology 14.13%
2 Consumer Discretionary 4.56%
3 Financials 4.27%
4 Healthcare 3.68%
5 Industrials 3.03%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BOND icon
626
PIMCO Active Bond Exchange-Traded Fund
BOND
$8.4B
$666K 0.02%
7,371
+1,653
+29% +$152K
ROKU icon
627
Roku
ROKU
$21.2B
$664K 0.02%
8,935
+679
+8% +$51.5K
CASH icon
628
Pathward Financial
CASH
$1.82B
$664K 0.02%
9,019
-132
-1% -$10.1K
EFC
629
Ellington Financial
EFC
$1.68B
$664K 0.02%
+54,744
New +$676K
FXN icon
630
First Trust Energy AlphaDEX Fund
FXN
$377M
$658K 0.02%
40,242
-580
-1% -$9.74K
JMST icon
631
JPMorgan Ultra-Short Municipal Income ETF
JMST
$7.12B
$655K 0.02%
12,909
+709
+6% +$36K
RBLX icon
632
Roblox
RBLX
$34.7B
$646K 0.02%
11,165
+4,343
+64% +$219K
FICS icon
633
First Trust International Developed Capital Strength ETF
FICS
$215M
$645K 0.02%
18,982
+5,066
+36% +$180K
TCAF icon
634
T. Rowe Price Capital Appreciation Equity ETF
TCAF
$7.87B
$642K 0.02%
+19,307
New +$651K
PECO icon
635
Phillips Edison & Co
PECO
$5.46B
$641K 0.02%
17,101
-1,181
-6% -$45K
ADI icon
636
Analog Devices
ADI
$181B
$639K 0.02%
3,007
-114
-4% -$25.2K
BUFF icon
637
Innovator Laddered Allocation Power Buffer ETF
BUFF
$908M
$637K 0.02%
14,187
-659
-4% -$29.5K
BJUN icon
638
Innovator US Equity Buffer ETF June
BJUN
$312M
$634K 0.02%
15,273
-500
-3% -$20.7K
SCHW
639
Charles Schwab
SCHW
$181B
$633K 0.02%
8,551
+909
+12% +$68K
QTEC icon
640
First Trust NASDAQ-100 Technology Index Fund
QTEC
$4.49B
$633K 0.02%
3,361
+264
+9% +$51.4K
SHEL icon
641
Shell
SHEL
$239B
$631K 0.02%
10,066
-301
-3% -$19.7K
DOCU
642
DocuSign
DOCU
$10.1B
$628K 0.02%
6,978
+2,275
+48% +$182K
LIN icon
643
Linde
LIN
$234B
$626K 0.02%
1,495
-10
-0.7% -$4.56K
GMAY icon
644
FT Vest US Equity Moderate Buffer ETF May
GMAY
$526M
$625K 0.02%
16,940
+1,098
+7% +$40.3K
ECPG icon
645
Encore Capital Group
ECPG
$2.03B
$625K 0.02%
13,080
-257
-2% -$12.2K
MAGS icon
646
Listed Funds Trust Roundhill Magnificent Seven ETF
MAGS
$3.8B
$624K 0.02%
11,468
+916
+9% +$47K
DFAS icon
647
Dimensional US Small Cap ETF
DFAS
$15.4B
$623K 0.02%
9,568
+323
+3% +$21.6K
OHI icon
648
Omega Healthcare
OHI
$15.3B
$622K 0.02%
16,430
-4,114
-20% -$164K
GSEW icon
649
Goldman Sachs Equal Weight US Large Cap Equity ETF
GSEW
$1.89B
$621K 0.02%
8,045
– –
SUSA icon
650
iShares ESG Optimized MSCI USA ETF
SUSA
$3.99B
$620K 0.02%
5,097
+7
+0.1% +$859
24 25
26
27 28

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WB
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BPS
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WWA
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Sigma Planning Corp's Q4 2024 Portfolio in Review

As of Q4 2024, Sigma Planning Corp held 1,277 positions worth $3.18B, down 2.4% from $3.26B the previous quarter. Its ten largest holdings account for 27% of the portfolio.

Sigma Planning Corp withdrew a net $97.3M in Q4 2024, closing 115 positions and reducing 566 holdings. Its most notable exit was State Street SPDR EURO STOXX 50 ETF, an estimated $3.8M position sold in full.

By sector, the portfolio is most concentrated in Technology at 14% of assets, up from 13% a quarter earlier, followed by Consumer Discretionary and Financials.

Against the trend, Sigma Planning Corp opened a new position in LHA Market State Tactical Beta ETF worth $5.26M.

  • Sigma Planning Corp's largest Q4 2024 buy was LHA Market State Tactical Beta ETF: 155,539 shares worth $5.26M.
  • Sigma Planning Corp added most to First Trust SMID Cap Rising Dividend Achievers ETF in Q4 2024, an estimated $3.6M increase.
  • Sigma Planning Corp's biggest Q4 2024 reduction was FT Vest US Equity Buffer ETF December, cutting an estimated $16.3M.
  • Sigma Planning Corp fully exited State Street SPDR EURO STOXX 50 ETF in Q4 2024, selling an estimated $3.8M.
  • Sigma Planning Corp's ten largest holdings make up 27% of its $3.18B portfolio in Q4 2024.
  • Sigma Planning Corp opened 66 new positions and closed 115 in Q4 2024.
  • Sigma Planning Corp's portfolio value fell 2.4% quarter-over-quarter to $3.18B.

Based on Sigma Planning Corp's 13F filing for Q4 2024, filed 3 Feb 2025.