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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 | |
|---|---|---|---|---|---|---|---|
751
Campbell Soup
CPB
$6.75B
| $643K | 0.02% |
32,406
-135,770
| -81% | -$3.01M |
2023 Q4
11 quarters
|
|
752
Pentair
PNR
$11.1B
| $641K | 0.02% |
12,088
+2,975
| +33% | +$189K |
2022 Q1
18 quarters
|
|
753
Invesco Russell 1000 Dynamic Multifactor ETF
OMFL
$4.68B
| $640K | 0.02% |
9,187
-1,653
| -15% | -$115K |
2023 Q2
13 quarters
|
|
754
Novartis
NVS
$307B
| $638K | 0.02% |
4,577
-163
| -3% | -$24.7K |
2014 Q4
47 quarters
|
|
755
BlackRock Intermediate Muni Income Bond ETF
INMU
$814M
| $637K | 0.02% |
27,817
-993
| -3% | -$23.5K |
2026 Q1
2 quarters
|
|
756
VanEck Preferred Securities ex Financials ETF
PFXF
$2.16B
| $634K | 0.02% |
36,190
+720
| +2% | +$12.8K |
2025 Q1
6 quarters
|
|
757
PIMCO Corporate & Income Opportunity Fund
PTY
$2.51B
| $633K | 0.02% |
57,537
+2,196
| +4% | +$25.6K |
2018 Q2
33 quarters
|
|
758
Hormel Foods
HRL
$12.1B
| $630K | 0.02% |
31,591
+2,355
| +8% | +$54.9K |
2024 Q1
10 quarters
|
|
759
FT Vest US Equity Enhance & Moderate Buffer ETF January
XJAN
$71.2M
| $630K | 0.02% |
16,031
| – | – |
2024 Q1
10 quarters
|
|
760
Truist Financial
TFC
$60.6B
| $628K | 0.02% |
13,573
-264
| -2% | -$13.4K |
2019 Q4
27 quarters
|
|
761
Genuine Parts
GPC
$17.2B
| $626K | 0.02% |
4,978
+283
| +6% | +$36.8K |
2017 Q3
36 quarters
|
|
762
FT Vest US Equity Deep Buffer ETF August
DAUG
$444M
| $625K | 0.02% |
14,325
+3,950
| +38% | +$187K |
2025 Q3
4 quarters
|
|
763
iShares US Medical Devices ETF
IHI
$4.07B
| $624K | 0.02% |
12,167
+725
| +6% | +$38.3K |
2017 Q2
37 quarters
|
|
764
iShares US Treasury Bond ETF
GOVT
$43.3B
| $621K | 0.02% |
28,384
-2,729
| -9% | -$61.1K |
2025 Q3
4 quarters
|
|
765
Invesco Bloomberg Pricing Power ETF
POWA
$169M
| $619K | 0.02% |
7,182
-870
| -11% | -$78.2K |
2024 Q2
9 quarters
|
|
766
QXO Inc
QXO
$14B
| $618K | 0.02% |
52,824
+4,555
| +9% | +$62.6K |
2025 Q1
6 quarters
|
|
767
iShares MBS ETF
MBB
$35.9B
| $614K | 0.02% |
6,828
-6,055
| -47% | -$561K |
2014 Q4
47 quarters
|
|
768
Ooma
OOMA
$497M
| $613K | 0.02% |
+30,000
| New | +$641K |
2026 Q3
0 quarters
|
|
769
Vanguard Total World Stock ETF
VT
$82.8B
| $613K | 0.02% |
3,884
-102
| -3% | -$16.2K |
2024 Q3
8 quarters
|
|
770
iShares Long-Term National Muni Bond ETF
LMUB
$1.58B
| $609K | 0.02% |
13,086
-1,830
| -12% | -$90.2K |
2026 Q2
1 quarter
|
|
771
Innovator International Developed Power Buffer ETF - August
IAUG
$80.5M
| $606K | 0.02% |
20,027
+248
| +1% | +$7.59K |
2025 Q2
5 quarters
|
|
|
772
BlackRock ETF Trust iShares Defense Industrials and Tech Active ETF
IDEF
$4.02B
| $605K | 0.02% |
19,360
-171,039
| -90% | -$5.59M |
2026 Q1
2 quarters
|
|
773
Vanguard Financials ETF
VFH
$13.6B
| $604K | 0.02% |
4,635
+528
| +13% | +$73.2K |
2024 Q1
10 quarters
|
|
774
American Healthcare REIT
AHR
$13.5B
| $604K | 0.02% |
11,777
-577
| -5% | -$31.6K |
2024 Q3
8 quarters
|
|
775
Prologis
PLD
$124B
| $602K | 0.02% |
4,658
+109
| +2% | +$15.3K |
2020 Q3
24 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.