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SPC

Sigma Planning Corp Portfolio holdings

AUM $3.97B
1-Year Est. Return 32.34%
This Fund
S&P 500
This Quarter Est. Return
-3.05%
1 Year Est. Return
+32.34%
3 Year Est. Return
+87.34%
5 Year Est. Return
+99.61%
10 Year Est. Return
+350.72%
AUM
$2.67B
AUM Growth
-$117M
Cap. Flow
-$17.5M
Cap. Flow %
-0.66%
Top 10 Hldgs %
22.23%
Holding
1,324
New
121
Increased
493
Reduced
556
Closed
129

Top Buys

Rank Stock Value
1
XAUG icon
FT Vest US Equity Enhance & Moderate Buffer ETF August
XAUG
+$11M
2
ABBV icon
AbbVie
ABBV
+$5.08M
3
XLI icon
State Street Industrial Select Sector SPDR ETF
XLI
+$4.55M
4
MOAT icon
VanEck Morningstar Wide Moat ETF
MOAT
+$3.89M
5
ABT icon
Abbott
ABT
+$3.79M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$5.16M
2
EFA icon
iShares MSCI EAFE ETF
EFA
+$3.76M
3
AZO icon
AutoZone
AZO
+$3.74M
4
TSLA icon
Tesla
TSLA
+$3.66M
5
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$3.53M

Sector Composition

Rank Sector Weight
1 Miscellaneous 60.58%
2 Technology 11.22%
3 Healthcare 4.68%
4 Consumer Discretionary 4.34%
5 Financials 4.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VEEV icon
651
Veeva Systems
VEEV
$42.7B
$568K 0.02%
2,792
+245
+10% +$49.4K
SNPS icon
652
Synopsys
SNPS
$73B
$567K 0.02%
1,236
+249
+25% +$111K
RGNX icon
653
Regenxbio
RGNX
$542M
$567K 0.02%
34,441
-15
-0% -$272
OUSM icon
654
ALPS O'Shares US Small-Cap Quality Dividend ETF
OUSM
$813M
$566K 0.02%
16,134
+1,448
+10% +$52.7K
ILCG icon
655
iShares Morningstar Growth ETF
ILCG
$3.13B
$566K 0.02%
9,489
-25
-0.3% -$1.55K
ALL icon
656
Allstate
ALL
$63.8B
$565K 0.02%
5,068
-303
-6% -$33.1K
SCM icon
657
Stellus Capital Investment Corp
SCM
$229M
$564K 0.02%
41,494
+12,066
+41% +$173K
VMI icon
658
Valmont Industries
VMI
$9.12B
$564K 0.02%
2,348
+2
+0.1% +$514
LZB icon
659
La-Z-Boy
LZB
$1.18B
$564K 0.02%
18,253
-4
-0% -$123
CUE icon
660
Cue Biopharma
CUE
$275M
$563K 0.02%
8,157
+647
+9% +$63.2K
PSEC icon
661
Prospect Capital
PSEC
$1.15B
$562K 0.02%
92,839
+7,006
+8% +$43.7K
VIOO icon
662
Vanguard S&P Small-Cap 600 ETF
VIOO
$4.1B
$562K 0.02%
+6,426
New +$592K
IYR icon
663
iShares US Real Estate ETF
IYR
$4.25B
$555K 0.02%
7,105
-2,685
-27% -$229K
HOLX
664
DELISTED
Hologic
HOLX
$553K 0.02%
7,973
-126
-2% -$9.52K
WBA
665
DELISTED
Walgreens Boots Alliance
WBA
$552K 0.02%
24,840
-28,370
-53% -$754K
HAL icon
666
Halliburton
HAL
$28.4B
$552K 0.02%
13,627
-3,142
-19% -$123K
HUBB icon
667
Hubbell
HUBB
$23.4B
$552K 0.02%
1,760
-26
-1% -$8.28K
EWJV icon
668
iShares MSCI Japan Value ETF
EWJV
$795M
$551K 0.02%
+19,291
New +$544K
BAUG icon
669
Innovator US Equity Buffer ETF August
BAUG
$270M
$549K 0.02%
16,643
+196
+1% +$6.64K
CTVA icon
670
Corteva
CTVA
$54.4B
$548K 0.02%
10,715
-815
-7% -$43.2K
PSEP icon
671
Innovator US Equity Power Buffer ETF September
PSEP
$1.05B
$548K 0.02%
16,904
+6,732
+66% +$222K
NICE icon
672
Nice
NICE
$6.17B
$547K 0.02%
3,219
-24
-0.7% -$4.78K
PNR icon
673
Pentair
PNR
$8.89B
$546K 0.02%
8,425
-1,205
-13% -$81.1K
XLRE icon
674
State Street Real Estate Select Sector SPDR ETF
XLRE
$7.97B
$545K 0.02%
16,010
-5,554
-26% -$206K
RA
675
Brookfield Real Assets Income Fund
RA
$665M
$544K 0.02%
44,448
+323
+0.7% +$4.94K
25 26
27
28 29

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Sigma Planning Corp's Q3 2023 Portfolio in Review

As of Q3 2023, Sigma Planning Corp held 1,324 positions worth $2.67B, down 4.2% from $2.78B the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Sigma Planning Corp's Q3 2023 filing shows 121 new, 493 increased, 556 reduced and 129 closed positions. Its largest new stake was FT Vest US Equity Enhance & Moderate Buffer ETF August: 366,335 shares worth $10.9M. The largest sale was Apple, an estimated $5.16M.

By sector, the portfolio is most concentrated in Miscellaneous at 61% of assets, up from 60% a quarter earlier, followed by Technology and Healthcare.

  • Sigma Planning Corp's largest Q3 2023 buy was FT Vest US Equity Enhance & Moderate Buffer ETF August: 366,335 shares worth $10.9M.
  • Sigma Planning Corp added most to AbbVie in Q3 2023, an estimated $5.08M increase.
  • Sigma Planning Corp's biggest Q3 2023 reduction was Apple, cutting an estimated $5.16M.
  • Sigma Planning Corp fully exited FT Vest Gold Strategy Target Income ETF in Q3 2023, selling an estimated $2.89M.
  • Sigma Planning Corp's ten largest holdings make up 22% of its $2.67B portfolio in Q3 2023.
  • Sigma Planning Corp opened 121 new positions and closed 129 in Q3 2023.
  • Sigma Planning Corp's portfolio value fell 4.2% quarter-over-quarter to $2.67B.

Based on Sigma Planning Corp's 13F filing for Q3 2023, filed 6 Nov 2023.