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Sigma Planning Corp Portfolio holdings
AUM
$3.88B
Turnover
15.86%
1-Year Est. Return
23.38%
Sigma Planning Corporation is an investment advisory firm that serves as a base for financial advisers who want to grow their own practices, offering investment management, financial planning and consulting. It shares ownership with two brokerage firms, Sigma Financial Corporation and Parkland Securities, and most of its advisers also work as brokers for one of them. A trust led by Jerome Rydell, who is chief executive of all three firms, holds the controlling stake. Its clients range from individuals and high net worth individuals to pension plans, charities and government bodies.
This Fund
S&P 500
This Quarter Est. Return
+2.21%
1 Year Est. Return
+23.38%
3 Year Est. Return
+97.51%
5 Year Est. Return
+104.89%
10 Year Est. Return
+349.11%
AUM
$3.88B
AUM Growth
-$88.7M
(-2.2%)
Cap. Flow
-$109M
Cap. Flow % of AUM
Cap. Flow %
-2.8%
Top 10 Holdings %
Top 10 Hldgs %
24.88%
Holding
1,482
New
78
Increased
518
Reduced
682
Closed
157
Avg Time Held
Equity + Options
4.6
years
Top 10 Avg Time Held
Equity + Options
6.7
years
Top 20 Avg Time Held
Equity + Options
4.7
years
Avg Time Held Equity only
4.6
years
Top 10 Avg Time Held Equity only
6.7
years
Top 20 Avg Time Held Equity only
5.1
years
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
BlackRock US Equity Factor Rotation ETF
DYNF
|
+$5.36M |
| 2 |
Vanguard High Dividend Yield ETF
VYM
|
+$3.47M |
| 3 |
Sarmaya Thematic ETF
LENS
|
+$2.97M |
| 4 |
Vanguard Morningstar Small-Cap ETF
VB
|
+$2.92M |
| 5 |
Palantir
PLTR
|
+$2.8M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
Invesco QQQ Trust
QQQ
|
+$6.05M |
| 2 |
JPMorgan Nasdaq Equity Premium Income ETF
JEPQ
|
+$5.64M |
| 3 |
BlackRock ETF Trust iShares Defense Industrials and Tech Active ETF
IDEF
|
+$5.59M |
| 4 |
iShares Core S&P Small-Cap ETF
IJR
|
+$3.76M |
| 5 |
Vanguard S&P 500 ETF
VOO
|
+$3.14M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Miscellaneous | 59.35% |
| 2 | Technology | 16.75% |
| 3 | Financials | 3.9% |
| 4 | Industrials | 3.46% |
| 5 | Healthcare | 3.44% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | Held Since | |
|---|---|---|---|---|---|---|---|
676
Franklin International Core Dividend Tilt Index ETF
DIVI
$2.65B
| $767K | 0.02% |
17,983
-3,435
| -16% | -$150K |
2025 Q2
5 quarters
|
|
677
Xcel Energy
XEL
$51.4B
| $766K | 0.02% |
10,856
+112
| +1% | +$8.62K |
2014 Q4
47 quarters
|
|
678
Franklin Dynamic Municipal Bond ETF
FLMI
$2.43B
| $754K | 0.02% |
32,342
-2,052
| -6% | -$50.2K |
2024 Q3
8 quarters
|
|
679
Sunoco
SUN
$11.8B
| $753K | 0.02% |
10,336
-1,897
| -16% | -$141K |
2018 Q3
32 quarters
|
|
680
Invesco S&P 500 Low Volatility ETF
SPLV
$7.51B
| $753K | 0.02% |
10,654
+27
| +0.3% | +$2.03K |
2014 Q4
47 quarters
|
|
681
Invesco RAFI Strategic US ETF
IUS
$1.03B
| $751K | 0.02% |
11,078
+2
| +0% | +$137 |
2024 Q3
8 quarters
|
|
682
Hewlett Packard
HPE
$64.6B
| $749K | 0.02% |
12,181
+157
| +1% | +$8.31K |
2024 Q1
10 quarters
|
|
683
Vanguard Communication Services ETF
VOX
$5.7B
| $745K | 0.02% |
3,920
+719
| +22% | +$136K |
2023 Q2
13 quarters
|
|
684
Astera Labs
ALAB
$38.3B
| $742K | 0.02% |
2,129
-59
| -3% | -$19K |
2025 Q2
5 quarters
|
|
685
Equinix
EQIX
$105B
| $740K | 0.02% |
732
+39
| +6% | +$40.5K |
2025 Q3
4 quarters
|
|
686
Invesco BulletShares 2030 Corporate Bond ETF
BSCU
$2.84B
| $739K | 0.02% |
45,758
| – | – |
2023 Q2
13 quarters
|
|
687
CMB.TECH NV
CMBT
$4.89B
| $737K | 0.02% |
38,956
-815
| -2% | -$14.1K |
2025 Q3
4 quarters
|
|
688
WisdomTree Dynamic International Equity Fund
DDWM
$1.44B
| $737K | 0.02% |
16,151
+842
| +6% | +$39.5K |
2025 Q1
6 quarters
|
|
689
MP Materials
MP
$6.64B
| $736K | 0.02% |
15,571
+20
| +0.1% | +$1.02K |
2025 Q2
5 quarters
|
|
690
iShares MSCI KLD 400 Social ETF
DSI
$5.26B
| $734K | 0.02% |
5,019
+2
| +0% | +$289 |
2020 Q3
24 quarters
|
|
691
iShares U.S. Thematic Rotation Active ETF
THRO
$7.22B
| $726K | 0.02% |
16,497
-1,702
| -9% | -$74K |
2025 Q2
5 quarters
|
|
692
State Street SPDR Bloomberg Investment Grade Floating Rate ETF
FLRN
$3.21B
| $723K | 0.02% |
23,425
-1,699
| -7% | -$52.3K |
2019 Q1
30 quarters
|
|
693
Capital Group Municipal Income ETF
CGMU
$7.61B
| $720K | 0.02% |
27,746
+1,328
| +5% | +$35.8K |
2024 Q1
10 quarters
|
|
694
Sarepta Therapeutics
SRPT
$1.89B
| $716K | 0.02% |
39,305
-21,307
| -35% | -$399K |
2016 Q3
40 quarters
|
|
695
State Street Real Estate Select Sector SPDR ETF
XLRE
$8.49B
| $715K | 0.02% |
17,480
+2,596
| +17% | +$115K |
2018 Q4
31 quarters
|
|
696
Unilever
UL
$142B
| $715K | 0.02% |
11,773
-2,464
| -17% | -$155K |
2019 Q1
30 quarters
|
|
697
First Trust Mid Cap Growth AlphaDEX Fund
FNY
$550M
| $714K | 0.02% |
7,222
+170
| +2% | +$17.6K |
2019 Q2
29 quarters
|
|
698
Innovator US Equity Buffer ETF July
BJUL
$355M
| $709K | 0.02% |
12,795
+161
| +1% | +$8.86K |
2022 Q2
17 quarters
|
|
699
Vanguard International Dividend Appreciation ETF
VIGI
$9.27B
| $709K | 0.02% |
7,507
+529
| +8% | +$51.2K |
2020 Q4
23 quarters
|
|
700
Edison International
EIX
$23.2B
| $707K | 0.02% |
13,157
-15,477
| -54% | -$1.05M |
2024 Q1
10 quarters
|
|
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IP
Sigma Planning Corp's Q3 2026 Portfolio in Review
As of Q3 2026, Sigma Planning Corp held 1,482 positions worth $3.88B, down 2.2% from $3.97B the previous quarter. Its ten largest holdings account for 25% of the portfolio.
Sigma Planning Corp's Q3 2026 filing shows 78 new, 518 increased, 682 reduced and 157 closed positions. Its largest new stake was First Trust Active Factor Large Cap Growth ETF: 68,323 shares worth $2.59M. The largest sale was Invesco QQQ Trust, an estimated $6.05M.
By sector, the portfolio is most concentrated in Miscellaneous at 59% of assets, down from 60% a quarter earlier, followed by Technology and Financials.
- Sigma Planning Corp's largest Q3 2026 buy was First Trust Active Factor Large Cap Growth ETF: 68,323 shares worth $2.59M.
- Sigma Planning Corp added most to BlackRock US Equity Factor Rotation ETF in Q3 2026, an estimated $5.36M increase.
- Sigma Planning Corp's biggest Q3 2026 reduction was Invesco QQQ Trust, cutting an estimated $6.05M.
- Sigma Planning Corp fully exited PIMCO 25+ Year Zero Coupon US Treasury Index Exchange-Traded Fund in Q3 2026, selling an estimated $2.33M.
- Sigma Planning Corp's ten largest holdings make up 25% of its $3.88B portfolio in Q3 2026.
- Sigma Planning Corp opened 78 new positions and closed 157 in Q3 2026.
- Sigma Planning Corp's portfolio value fell 2.2% quarter-over-quarter to $3.88B.
Based on Sigma Planning Corp's 13F filing for Q3 2026, filed 23 Oct 2026.