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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 | |
|---|---|---|---|---|---|---|---|
776
MidCap Financial Investment
MFIC
$845M
| $599K | 0.02% |
68,531
-4,146
| -6% | -$39.5K |
2014 Q4
47 quarters
|
|
777
Atmos Energy
ATO
$29.3B
| $599K | 0.02% |
3,827
+9
| +0.2% | +$1.53K |
2020 Q1
26 quarters
|
|
778
Fidelity Quality Factor ETF
FQAL
$1.58B
| $595K | 0.02% |
7,147
+142
| +2% | +$11.8K |
2021 Q1
22 quarters
|
|
779
First Trust STOXX European Select Dividend Income Fund
FDD
$882M
| $595K | 0.02% |
30,955
+146
| +0.5% | +$2.91K |
2017 Q1
38 quarters
|
|
780
Gold Fields
GFI
$36.3B
| $591K | 0.02% |
15,851
-1,584
| -9% | -$62.3K |
2025 Q2
5 quarters
|
|
781
First Trust Low Duration Strategic Focus ETF
LDSF
$160M
| $589K | 0.02% |
31,986
-222
| -0.7% | -$4.17K |
2021 Q1
22 quarters
|
|
782
iShares MSCI Hong Kong ETF
EWH
$1.31B
| $584K | 0.02% |
27,101
-14,790
| -35% | -$332K |
2025 Q1
6 quarters
|
|
783
Genworth Financial
GNW
$3.19B
| $582K | 0.02% |
64,905
-893
| -1% | -$8.82K |
2015 Q2
45 quarters
|
|
784
First Trust Exchange-Traded Fund VI First Trust S&P International Dividend Aristocrats ETF
FID
$169M
| $581K | 0.02% |
26,042
+1,019
| +4% | +$23K |
2021 Q1
22 quarters
|
|
785
Hedgeye Capital Allocation ETF
HECA
$272M
| $578K | 0.01% |
21,265
| – | – |
2026 Q1
2 quarters
|
|
786
Cummins
CMI
$63.5B
| $577K | 0.01% |
1,119
-172
| -13% | -$104K |
2016 Q2
41 quarters
|
|
787
Elevance Health
ELV
$90.7B
| $576K | 0.01% |
1,482
-743
| -33% | -$296K |
2017 Q1
38 quarters
|
|
788
Global X Data Center & Digital Infrastructure ETF
DTCR
$1.9B
| $576K | 0.01% |
21,222
-5,645
| -21% | -$159K |
2026 Q2
1 quarter
|
|
789
Franklin Income Focus ETF
INCM
$2.03B
| $574K | 0.01% |
20,175
+8,620
| +75% | +$252K |
2025 Q3
4 quarters
|
|
790
Innovator US Equity Buffer ETF March
BMAR
$199M
| $574K | 0.01% |
9,704
| – | – |
2024 Q1
10 quarters
|
|
791
Gabelli Dividend & Income Trust
GDV
$2.5B
| $571K | 0.01% |
20,191
+1,221
| +6% | +$36.4K |
2017 Q2
37 quarters
|
|
792
State Street SPDR Portfolio S&P 1500 Composite Stock Market ETF
SPTM
$14B
| $570K | 0.01% |
6,196
| – | – |
2024 Q1
10 quarters
|
|
793
TG Therapeutics
TGTX
$8.52B
| $568K | 0.01% |
10,175
-5,200
| -34% | -$281K |
2026 Q2
1 quarter
|
|
794
Davis Select US Equity ETF
DUSA
$1.29B
| $567K | 0.01% |
10,368
+200
| +2% | +$11.4K |
2025 Q3
4 quarters
|
|
795
Annaly Capital Management
NLY
$14.9B
| $564K | 0.01% |
29,874
+3,895
| +15% | +$87.5K |
2014 Q4
47 quarters
|
|
796
Capital Group Municipal High-Income ETF
CGHM
$3.81B
| $563K | 0.01% |
23,379
+1,265
| +6% | +$32K |
2026 Q1
2 quarters
|
|
797
First Trust Dorsey Wright Momentum & Low Volatility ETF
DVOL
$75.1M
| $558K | 0.01% |
15,920
-69
| -0.4% | -$2.55K |
2024 Q1
10 quarters
|
|
798
WisdomTree India Earnings Fund ETF
EPI
$1.87B
| $556K | 0.01% |
13,656
+566
| +4% | +$24.1K |
2024 Q1
10 quarters
|
|
799
Innovative Industrial Properties
IIPR
$1.54B
| $552K | 0.01% |
10,478
+246
| +2% | +$14.4K |
2018 Q1
34 quarters
|
|
800
CALL
Centene
CNC
$34.2B
| $551K | 0.01% |
20,000
| – | – |
2025 Q3
4 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.