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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 | |
|---|---|---|---|---|---|---|---|
726
Invesco S&P 500 High Dividend Low Volatility ETF
SPHD
$3.45B
| $669K | 0.02% |
13,881
+255
| +2% | +$13.2K |
2014 Q4
47 quarters
|
|
727
Innovator Equity Dual Directional 15 Buffer ETF - September
DDFS
$85.5M
| $669K | 0.02% |
+29,965
| New | +$665K |
2026 Q3
0 quarters
|
|
728
Brainsway
BWAY
$461M
| $668K | 0.02% |
50,635
-49,800
| -50% | -$736K |
2025 Q4
3 quarters
|
|
729
Carrier Global
CARR
$44B
| $668K | 0.02% |
12,161
+709
| +6% | +$43.9K |
2020 Q2
25 quarters
|
|
730
Arm
ARM
$201B
| $668K | 0.02% |
2,306
-295
| -11% | -$80.3K |
2024 Q1
10 quarters
|
|
731
FT Energy Income Partners Strategy ETF
EIPX
$569M
| $668K | 0.02% |
21,355
+847
| +4% | +$27.7K |
2025 Q1
6 quarters
|
|
732
State Street SPDR Portfolio Long Term Corporate Bond Index ETF
SPLB
$1.2B
| $668K | 0.02% |
32,757
-21,652
| -40% | -$464K |
2025 Q3
4 quarters
|
|
733
JPMorgan Diversified Return Emerging Markets Equity ETF
JPEM
$372M
| $665K | 0.02% |
10,511
-350
| -3% | -$22.7K |
2024 Q1
10 quarters
|
|
734
American Water Works
AWK
$29.7B
| $665K | 0.02% |
5,135
+12
| +0.2% | +$1.62K |
2014 Q4
47 quarters
|
|
735
JBS N.V.
JBS
$42.6B
| $664K | 0.02% |
56,632
-37,466
| -40% | -$479K |
2026 Q2
1 quarter
|
|
736
State Street SPDR Portfolio MSCI Global Stock Market ETF
SPGM
$1.78B
| $663K | 0.02% |
8,742
-9,377
| -52% | -$812K |
2025 Q3
4 quarters
|
|
737
iShares Global Industrials ETF
EXI
$1.39B
| $662K | 0.02% |
3,499
-165
| -5% | -$32.6K |
2024 Q1
10 quarters
|
|
738
iShares MSCI USA Value Factor ETF
VLUE
$9.1B
| $662K | 0.02% |
3,342
+285
| +9% | +$56.4K |
2024 Q1
10 quarters
|
|
739
Yum! Brands
YUM
$43.1B
| $661K | 0.02% |
4,850
-20
| -0.4% | -$2.99K |
2024 Q1
10 quarters
|
|
740
Omega Healthcare
OHI
$14.8B
| $660K | 0.02% |
14,248
-795
| -5% | -$38.1K |
2014 Q4
47 quarters
|
|
741
Pacer Data and Digital Revolution ETF
TRFK
$962M
| $658K | 0.02% |
6,906
+1,496
| +28% | +$143K |
2025 Q3
4 quarters
|
|
742
JPMorgan Municipal ETF
JMUB
$9.25B
| $658K | 0.02% |
13,839
-4,159
| -23% | -$206K |
2024 Q1
10 quarters
|
|
743
Sherwin-Williams
SHW
$85.2B
| $657K | 0.02% |
2,033
-7
| -0.3% | -$2.37K |
2014 Q4
47 quarters
|
|
744
Everpure Inc
P
$34.4B
| $654K | 0.02% |
5,004
-968
| -16% | -$91.2K |
2024 Q1
10 quarters
|
|
745
Hims & Hers Health
HIMS
$5.6B
| $650K | 0.02% |
21,827
-301
| -1% | -$9.24K |
2024 Q1
10 quarters
|
|
746
iShares Short-Term National Muni Bond ETF
SUB
$13.4B
| $650K | 0.02% |
6,201
-208
| -3% | -$22K |
2021 Q1
22 quarters
|
|
747
iShares Core MSCI Total International Stock ETF
IXUS
$57.8B
| $650K | 0.02% |
6,839
-1,244
| -15% | -$119K |
2014 Q4
47 quarters
|
|
748
Match Group
MTCH
$8.97B
| $649K | 0.02% |
+16,173
| New | +$647K |
2026 Q3
0 quarters
|
|
749
Columbia Research Enhanced Core ETF
RECS
$6.06B
| $647K | 0.02% |
14,343
-1,066
| -7% | -$47.8K |
2026 Q1
2 quarters
|
|
750
Fidelity Low Volatility Factor ETF
FDLO
$1.56B
| $646K | 0.02% |
9,165
-674
| -7% | -$48.2K |
2024 Q1
10 quarters
|
|
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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.