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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
FXL icon
701
First Trust Technology AlphaDEX Fund
FXL
$2.47B
– –
-6,324
Closed -$224K
FXR icon
702
First Trust Industrials/Producer Durables AlphaDEX Fund
FXR
$732M
– –
-53,755
Closed -$1.6M
FYT icon
703
First Trust Small Cap Value AlphaDEX Fund
FYT
$189M
– –
-11,735
Closed -$382K
GLNG icon
704
Golar LNG
GLNG
$4.95B
– –
-4,685
Closed -$219K
GOOG icon
705
Alphabet (Google) Class C
GOOG
$3.9T
– –
-102,320
Closed -$2.72M
GOVI icon
706
Invesco Equal Weight 0-30 Year Treasury ETF
GOVI
$1.22B
– –
-23,187
Closed -$737K
GPRO icon
707
GoPro
GPRO
$116M
– –
-13,722
Closed -$723K
GS icon
708
Goldman Sachs
GS
$313B
– –
-1,050
Closed -$219K
GVI icon
709
iShares Intermediate Government/Credit Bond ETF
GVI
$3.72B
– –
-2,052
Closed -$227K
IAT icon
710
iShares US Regional Banks ETF
IAT
$685M
– –
-20,395
Closed -$747K
IP icon
711
International Paper
IP
$22.3B
– –
-5,045
Closed -$227K
ISCV icon
712
iShares Morningstar Small-Cap Value ETF
ISCV
$687M
– –
-8,364
Closed -$351K
ITW icon
713
Illinois Tool Works
ITW
$81.4B
– –
-2,661
Closed -$244K
IXJ icon
714
iShares Global Healthcare ETF
IXJ
$4.11B
– –
-4,374
Closed -$238K
IYT icon
715
iShares US Transportation ETF
IYT
$2.33B
– –
-7,300
Closed -$265K
IYW icon
716
iShares US Technology ETF
IYW
$23.7B
– –
-32,580
Closed -$853K
JNUG icon
717
Direxion Daily Junior Gold Miners Index Bull 2X ETF
JNUG
$351M
– –
-333
Closed -$622K
JPXN
718
iShares JPX-Nikkei 400 ETF
JPXN
$132M
– –
-8,296
Closed -$459K
KSS icon
719
Kohl's
KSS
$2.03B
– –
-4,036
Closed -$253K
LYB icon
720
LyondellBasell Industries
LYB
$19.5B
– –
-3,453
Closed -$357K
MOO icon
721
VanEck Agribusiness ETF
MOO
$989M
– –
-4,616
Closed -$254K
NEOG icon
722
Neogen
NEOG
$2.05B
– –
-11,544
Closed -$205K
NI icon
723
NiSource
NI
$22.4B
– –
-22,498
Closed -$403K
NMM icon
724
Navios Maritime Partners
NMM
$2.25B
– –
-1,941
Closed -$312K
NRP icon
725
Natural Resource Partners
NRP
$1.3B
– –
-4,179
Closed -$158K
27 28
29
30 31

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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.