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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
-3.05%
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
$2.67B
AUM Growth
-$117M
Cap. Flow
+$7.73M
Cap. Flow %
0.29%
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 Technology 11.22%
2 Healthcare 4.66%
3 Consumer Discretionary 4.34%
4 Financials 4.17%
5 Industrials 3.45%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ICSH icon
51
iShares Ultra Short Duration Bond Active ETF
ICSH
$7.97B
$9.23M 0.35%
183,182
+5,218
+3% +$262K
IUSV icon
52
iShares Core S&P US Value ETF
IUSV
$27.2B
$9.06M 0.34%
121,460
-2,323
-2% -$182K
META icon
53
Meta Platforms (Facebook)
META
$1.51T
$8.89M 0.33%
29,613
+1,767
+6% +$532K
FVD icon
54
First Trust Value Line Dividend Fund
FVD
$8.29B
$8.76M 0.33%
234,354
+36,069
+18% +$1.43M
VTI icon
55
Vanguard Total Stock Market ETF
VTI
$654B
$8.62M 0.32%
40,563
+2,272
+6% +$503K
BALT icon
56
Innovator Defined Wealth Shield ETF
BALT
$2.66B
$8.52M 0.32%
306,591
+15,928
+5% +$446K
CAT icon
57
Caterpillar
CAT
$409B
$8.51M 0.32%
31,156
+3,208
+11% +$870K
RDVY icon
58
First Trust Rising Dividend Achievers ETF
RDVY
$24.3B
$8.42M 0.32%
183,220
-6,099
-3% -$292K
UCON icon
59
First Trust Smith Unconstrained Bond ETF
UCON
$3.26B
$8.16M 0.31%
341,347
+7,769
+2% +$188K
VZ icon
60
Verizon
VZ
$194B
$8.01M 0.3%
247,259
-25,281
-9% -$854K
CVX icon
61
Chevron
CVX
$388B
$7.97M 0.3%
47,271
-459
-1% -$74.1K
IEFA icon
62
iShares Core MSCI EAFE ETF
IEFA
$186B
$7.84M 0.29%
121,813
+1,348
+1% +$90.3K
MTUM icon
63
iShares MSCI USA Momentum Factor ETF
MTUM
$25.5B
$7.82M 0.29%
55,991
+115
+0.2% +$16.6K
SCHX icon
64
Schwab US Large- Cap ETF
SCHX
$70.9B
$7.8M 0.29%
462,603
+34,443
+8% +$604K
XLI icon
65
State Street Industrial Select Sector SPDR ETF
XLI
$33.9B
$7.74M 0.29%
76,379
+42,497
+125% +$4.55M
QUAL icon
66
iShares MSCI USA Quality Factor ETF
QUAL
$45.8B
$7.59M 0.28%
57,592
+4,382
+8% +$598K
UNH icon
67
UnitedHealth
UNH
$382B
$7.55M 0.28%
14,969
-1,206
-7% -$594K
FDL icon
68
First Trust Morningstar Dividend Leaders Index Fund
FDL
$7.72B
$7.49M 0.28%
223,893
-49,194
-18% -$1.71M
JPST icon
69
JPMorgan Ultra-Short Income ETF
JPST
$40B
$7.44M 0.28%
148,204
-31,590
-18% -$1.58M
WM icon
70
Waste Management
WM
$95.9B
$7.4M 0.28%
48,557
-875
-2% -$142K
NEE icon
71
NextEra Energy
NEE
$187B
$7.1M 0.27%
123,852
+2,007
+2% +$139K
WMT icon
72
Walmart Inc
WMT
$871B
$7.01M 0.26%
131,520
-1,407
-1% -$74.9K
IUSB icon
73
iShares Core Universal USD Bond ETF
IUSB
$42.6B
$6.94M 0.26%
158,792
+16,372
+11% +$732K
PEP icon
74
PepsiCo
PEP
$186B
$6.63M 0.25%
39,153
-867
-2% -$157K
VEA icon
75
Vanguard FTSE Developed Markets ETF
VEA
$226B
$6.52M 0.24%
149,208
-7,239
-5% -$331K
1 2
3
4 5

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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 Technology at 11% of assets, down from 12% a quarter earlier, followed by Healthcare and Consumer Discretionary.

  • 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.