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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
LINE
651
DELISTED
LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS
LINE
$43K 0.01%
16,087
-177,395
-92% -$789K
AUY
652
DELISTED
Yamana Gold, Inc.
AUY
$37K 0.01%
21,969
-6,444
-23% -$13.2K
NSU
653
DELISTED
Nevsun Resources Ltd.
NSU
$32K 0.01%
10,872
– –
CEQP
654
DELISTED
Crestwood Equity Partners LP
CEQP
$23K ﹤0.01%
+1,014
New +$33.1K
PWE
655
DELISTED
Penn West Energy Petroleum Ltd
PWE
$23K ﹤0.01%
50,136
+13,609
+37% +$13.3K
ALO
656
DELISTED
Alio Gold Inc
ALO
$21K ﹤0.01%
8,371
-200
-2% -$626
CDMO
657
DELISTED
Avid Bioservices, Inc. Common Stock
CDMO
$14K ﹤0.01%
+2,000
New +$16.7K
ARTX
658
DELISTED
Arotech Corporation
ARTX
$13K ﹤0.01%
10,000
– –
HK
659
DELISTED
Halcon Resources Corporation
HK
$12K ﹤0.01%
127
-6
-5% -$985
DNN icon
660
Denison Mines
DNN
$2.63B
$10K ﹤0.01%
25,599
– –
WRES
661
DELISTED
WARREN RESOURCES INC
WRES
$7K ﹤0.01%
14,266
– –
GDP
662
DELISTED
GOODRICH PETROLEUM CORP(NEW)
GDP
$6K ﹤0.01%
11,100
– –
SD
663
DELISTED
SANDRIDGE ENERGY, INC.
SD
$4K ﹤0.01%
16,566
-8,390
-34% -$4.39K
MHR
664
DELISTED
MAGNUM HUNTER RESOURCES CORP (DEL)
MHR
$4K ﹤0.01%
+11,030
New +$10.2K
DRYS
665
DELISTED
DryShips Inc. Common Stock
DRYS
– –
0
– –
NSPR icon
666
InspireMD
NSPR
$32M
– –
0
– –
ACWI icon
667
iShares MSCI ACWI ETF
ACWI
$32.6B
– –
-8,956
Closed -$532K
AIA icon
668
iShares Asia 50 ETF
AIA
$4.52B
– –
-8,599
Closed -$432K
ALB icon
669
Albemarle
ALB
$13.5B
– –
-5,256
Closed -$290K
AMBA icon
670
Ambarella
AMBA
$2.99B
– –
-3,182
Closed -$327K
AMT icon
671
American Tower
AMT
$77.7B
– –
-3,197
Closed -$298K
ARAY icon
672
Accuray
ARAY
$28.4M
– –
-10,850
Closed -$73K
ARR
673
Armour Residential REIT
ARR
$2.02B
– –
-320
Closed -$36K
ASHR icon
674
Xtrackers Harvest CSI 300 China A-Shares ETF
ASHR
$1.35B
– –
-9,409
Closed -$433K
AVGO icon
675
Broadcom
AVGO
$1.82T
– –
-17,990
Closed -$239K
25 26
27
28 29

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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.