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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
-4.66%
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
$2.62B
AUM Growth
-$254M
Cap. Flow
-$114M
Cap. Flow %
-4.33%
Top 10 Hldgs %
20.41%
Holding
1,363
New
75
Increased
591
Reduced
553
Closed
102

Top Buys

Rank Stock Value
1
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$18.1M
2
PEP icon
PepsiCo
PEP
+$8.37M
3
IVV icon
iShares Core S&P 500 ETF
IVV
+$7.73M
4
PSTP icon
Innovator Power Buffer Step-Up Strategy ETF
PSTP
+$4.94M
5
BALT icon
Innovator Defined Wealth Shield ETF
BALT
+$4.86M

Top Sells

Rank Stock Value
1
GLD icon
SPDR Gold Trust
GLD
+$8.96M
2
UUP icon
Invesco DB US Dollar Index Bullish Fund
UUP
+$6.66M
3
FTGC icon
First Trust Global Tactical Commodity Strategy Fund
FTGC
+$6.62M
4
CDC icon
VictoryShares US EQ Income Enhanced Volatility Wtd ETF
CDC
+$6.14M
5
PSFF icon
Pacer Swan SOS Fund of Funds ETF
PSFF
+$4.28M

Sector Composition

Rank Sector Weight
1 Technology 9.92%
2 Healthcare 5.17%
3 Consumer Discretionary 4.8%
4 Financials 4.33%
5 Consumer Staples 3.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
QQQX icon
701
Nuveen NASDAQ 100 Dynamic Overwrite Fund
QQQX
$1.44B
$539K 0.02%
26,283
+4,599
+21% +$107K
WEC icon
702
WEC Energy
WEC
$37.2B
$537K 0.02%
6,005
-25
-0.4% -$2.55K
KRNT icon
703
Kornit Digital
KRNT
$707M
$536K 0.02%
+20,144
New +$580K
BIBL icon
704
Inspire 100 ETF
BIBL
$490M
$535K 0.02%
19,269
+1,178
+7% +$36.5K
NLY icon
705
Annaly Capital Management
NLY
$17B
$535K 0.02%
31,193
+2,213
+8% +$55.8K
APTO
706
DELISTED
Aptose Biosciences, Inc.
APTO
$535K 0.02%
1,999
+128
+7% +$44.1K
COF icon
707
Capital One
COF
$127B
$534K 0.02%
5,797
+3,215
+125% +$342K
FTNT icon
708
Fortinet
FTNT
$112B
$533K 0.02%
10,846
+1,452
+15% +$78.7K
RSPU icon
709
Invesco S&P 500 Equal Weight Utilities ETF
RSPU
$551M
$532K 0.02%
9,976
+2,142
+27% +$128K
IIPR icon
710
Innovative Industrial Properties
IIPR
$1.79B
$531K 0.02%
5,999
+209
+4% +$20.3K
IMCB icon
711
iShares Morningstar Mid-Cap ETF
IMCB
$1.66B
$531K 0.02%
9,858
-297
-3% -$17.7K
IRM icon
712
Iron Mountain
IRM
$37.7B
$531K 0.02%
12,067
+164
+1% +$8.28K
REZ icon
713
iShares Residential and Multisector Real Estate ETF
REZ
$907M
$531K 0.02%
7,388
-290
-4% -$23.7K
GLNG icon
714
Golar LNG
GLNG
$4.89B
$530K 0.02%
+21,279
New +$531K
RIV
715
RiverNorth Opportunities Fund
RIV
$308M
$529K 0.02%
43,415
+11,779
+37% +$167K
BEPC icon
716
Brookfield Renewable
BEPC
$5.9B
$528K 0.02%
16,147
+72
+0.4% +$2.77K
TSCO icon
717
Tractor Supply
TSCO
$16.7B
$521K 0.02%
14,020
-7,470
-35% -$291K
RS icon
718
Reliance Steel & Aluminium
RS
$20.7B
$520K 0.02%
2,980
-20
-0.7% -$3.67K
SDOG icon
719
ALPS Sector Dividend Dogs ETF
SDOG
$1.42B
$515K 0.02%
11,400
+2,612
+30% +$133K
SPGI icon
720
S&P Global
SPGI
$131B
$515K 0.02%
1,686
-802
-32% -$287K
VFH icon
721
Vanguard Financials ETF
VFH
$13.5B
$515K 0.02%
6,920
-461
-6% -$37.5K
VTEB icon
722
Vanguard Tax-Exempt Bond Index Fund
VTEB
$45.2B
$512K 0.02%
10,630
-1,629
-13% -$81.4K
CTRA
723
DELISTED
Coterra Energy
CTRA
$509K 0.02%
19,491
+1,545
+9% +$44.2K
PWV icon
724
Invesco Large Cap Value ETF
PWV
$1.68B
$507K 0.02%
12,173
+6,837
+128% +$308K
HYGV icon
725
FlexShares High Yield Value-Scored Bond Index Fund
HYGV
$1.08B
$501K 0.02%
12,813
+582
+5% +$24.1K
27 28
29
30 31

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WWA
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Sigma Planning Corp's Q3 2022 Portfolio in Review

As of Q3 2022, Sigma Planning Corp held 1,363 positions worth $2.62B, down 8.8% from $2.88B the previous quarter. Its ten largest holdings account for 20% of the portfolio.

Sigma Planning Corp withdrew a net $114M in Q3 2022, closing 102 positions and reducing 553 holdings. Its most notable exit was Pacer Swan SOS Fund of Funds ETF, an estimated $4.28M position sold in full.

By sector, the portfolio is most concentrated in Technology at 9.9% of assets, up from 9.7% a quarter earlier, followed by Healthcare and Consumer Discretionary.

Against the trend, Sigma Planning Corp opened a new position in iShares 1-3 Year Treasury Bond ETF worth $17.8M.

  • Sigma Planning Corp's largest Q3 2022 buy was iShares 1-3 Year Treasury Bond ETF: 219,466 shares worth $17.8M.
  • Sigma Planning Corp added most to iShares Core S&P 500 ETF in Q3 2022, an estimated $7.73M increase.
  • Sigma Planning Corp's biggest Q3 2022 reduction was SPDR Gold Trust, cutting an estimated $8.96M.
  • Sigma Planning Corp fully exited Pacer Swan SOS Fund of Funds ETF in Q3 2022, selling an estimated $4.28M.
  • Sigma Planning Corp's ten largest holdings make up 20% of its $2.62B portfolio in Q3 2022.
  • Sigma Planning Corp opened 75 new positions and closed 102 in Q3 2022.
  • Sigma Planning Corp's portfolio value fell 8.8% quarter-over-quarter to $2.62B.

Based on Sigma Planning Corp's 13F filing for Q3 2022, filed 10 Nov 2022.