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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
+2.31%
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
$915M
AUM Growth
+$71.4M
Cap. Flow
+$59.7M
Cap. Flow %
6.52%
Top 10 Hldgs %
17.37%
Holding
832
New
89
Increased
316
Reduced
308
Closed
97

Top Buys

Rank Stock Value
1
IUSV icon
iShares Core S&P US Value ETF
IUSV
+$8.45M
2
DGRO icon
iShares Core Dividend Growth ETF
DGRO
+$7.41M
3
HDV
iShares Core High Dividend ETF
HDV
+$7.4M
4
IWM icon
iShares Russell 2000 ETF
IWM
+$6.26M
5
IUSG icon
iShares Core S&P US Growth ETF
IUSG
+$5.04M

Top Sells

Rank Stock Value
1
IVW icon
iShares S&P 500 Growth ETF
IVW
+$4.63M
2
IEF icon
iShares 7-10 Year Treasury Bond ETF
IEF
+$3.97M
3
RING icon
iShares MSCI Global Gold Miners ETF
RING
+$3.6M
4
IYR icon
iShares US Real Estate ETF
IYR
+$1.86M
5
IJJ icon
iShares S&P Mid-Cap 400 Value ETF
IJJ
+$1.6M

Sector Composition

Rank Sector Weight
1 Technology 5.02%
2 Consumer Staples 4.87%
3 Financials 4.78%
4 Industrials 4.53%
5 Healthcare 4.28%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NSU
701
DELISTED
Nevsun Resources Ltd.
NSU
$89K 0.01%
+28,878
New +$87.4K
DRD
702
DRDGold
DRD
$1.82B
$88K 0.01%
+16,573
New +$77.4K
HL icon
703
Hecla Mining
HL
$10.2B
$87K 0.01%
+16,637
New +$97.5K
SJT
704
San Juan Basin Royalty Trust
SJT
$117M
$85K 0.01%
12,824
+288
+2% +$1.81K
GPL
705
DELISTED
Great Panther Mining Limited
GPL
$85K 0.01%
+5,138
New +$71.2K
MUX icon
706
McEwen Inc
MUX
$1.03B
$80K 0.01%
+2,755
New +$85.2K
VALE icon
707
Vale
VALE
$62.9B
$80K 0.01%
10,438
+40
+0.4% +$293
AWP
708
abrdn Global Premier Properties Fund
AWP
$377M
$75K 0.01%
4,856
-2,891
-37% -$45.2K
OXSQ icon
709
Oxford Square Capital
OXSQ
$151M
$74K 0.01%
11,200
– –
AGI icon
710
Alamos Gold
AGI
$12.4B
$72K 0.01%
+10,476
New +$73.6K
REED
711
DELISTED
Reeds, Inc. Common Stock
REED
$67K 0.01%
328
+5
+2% +$1.03K
AEG icon
712
Aegon
AEG
$13.5B
$65K 0.01%
+15,339
New +$57.1K
RFP
713
DELISTED
Resolute Forest Products Inc.
RFP
$62K 0.01%
+11,578
New +$52.8K
NCZ
714
Virtus Convertible & Income Fund II
NCZ
$292M
$61K 0.01%
2,673
-100
-4% -$2.27K
SAND
715
DELISTED
Sandstorm Gold
SAND
$60K 0.01%
15,450
+1,000
+7% +$4.19K
AUY
716
DELISTED
Yamana Gold, Inc.
AUY
$50K 0.01%
17,789
-1,988
-10% -$6.5K
DHY
717
Credit Suisse High Yield Credit Fund
DHY
$238M
$47K 0.01%
17,495
-89
-0.5% -$221
NGD
718
DELISTED
New Gold Inc
NGD
$44K ﹤0.01%
12,650
+850
+7% +$3.23K
EGO icon
719
Eldorado Gold
EGO
$8.31B
$41K ﹤0.01%
2,554
-3,040
-54% -$47.8K
LYG icon
720
Lloyds Banking Group
LYG
$87.4B
$41K ﹤0.01%
13,132
+82
+0.6% +$240
GLUU
721
DELISTED
Glu Mobile Inc.
GLUU
$41K ﹤0.01%
21,000
– –
KOPN icon
722
Kopin
KOPN
$663M
$37K ﹤0.01%
13,000
– –
ARTX
723
DELISTED
Arotech Corporation
ARTX
$35K ﹤0.01%
10,000
– –
BDSI
724
DELISTED
BioDelivery Sciences International, Inc.
BDSI
$35K ﹤0.01%
20,259
-10,100
-33% -$20.6K
PWE
725
DELISTED
Penn West Energy Petroleum Ltd
PWE
$28K ﹤0.01%
16,038
– –
27 28
29
30 31

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Sigma Planning Corp's Q4 2016 Portfolio in Review

As of Q4 2016, Sigma Planning Corp held 832 positions worth $915M, up 8.5% from $843M the previous quarter. Its ten largest holdings account for 17% of the portfolio.

Sigma Planning Corp deployed $59.7M of net new capital in Q4 2016, opening 89 new positions and adding to 316 existing holdings. Its largest new stake was ProShares Ultra S&P500: 356,808 shares worth $3.4M.

By sector, the portfolio is most concentrated in Technology at 5% of assets, up from 4.9% a quarter earlier, followed by Consumer Staples and Financials.

On the sell side, the largest reduction was iShares S&P 500 Growth ETF, an estimated $4.63M trimmed.

  • Sigma Planning Corp's largest Q4 2016 buy was ProShares Ultra S&P500: 356,808 shares worth $3.4M.
  • Sigma Planning Corp added most to iShares Core S&P US Value ETF in Q4 2016, an estimated $8.45M increase.
  • Sigma Planning Corp's biggest Q4 2016 reduction was iShares S&P 500 Growth ETF, cutting an estimated $4.63M.
  • Sigma Planning Corp fully exited Guggenheim BulletShares 2016 High Yield Corporate Bond ETF in Q4 2016, selling an estimated $1.25M.
  • Sigma Planning Corp's ten largest holdings make up 17% of its $915M portfolio in Q4 2016.
  • Sigma Planning Corp opened 89 new positions and closed 97 in Q4 2016.
  • Sigma Planning Corp's portfolio value rose 8.5% quarter-over-quarter to $915M.

Based on Sigma Planning Corp's 13F filing for Q4 2016, filed 23 Jan 2017.