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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
-6.12%
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
$631M
AUM Growth
-$93.2M
Cap. Flow
-$43.6M
Cap. Flow %
-6.91%
Top 10 Hldgs %
19.2%
Holding
790
New
84
Increased
251
Reduced
320
Closed
119

Top Buys

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$7.14M
2
GNL icon
Global Net Lease
GNL
+$3.09M
3
SDS icon
ProShares UltraShort S&P500
SDS
+$2.42M
4
VNQ icon
Vanguard Real Estate ETF
VNQ
+$2.23M
5
FV icon
First Trust Dorsey Wright Focus 5 ETF
FV
+$2.03M

Top Sells

Rank Stock Value
1
VQT
iPath S&P VEQTOR ETN
VQT
+$3.85M
2
AAPL icon
Apple
AAPL
+$3.73M
3
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$3.09M
4
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$2.84M
5
SDY icon
State Street SPDR S&P Dividend ETF
SDY
+$2.84M

Sector Composition

Rank Sector Weight
1 Healthcare 6.11%
2 Technology 5.58%
3 Consumer Staples 5.25%
4 Financials 4.57%
5 Industrials 4.52%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NBG
776
DELISTED
NATIONAL BANK OF GREECE SA ADR REPSTG 1 SHARE (NEW)
NBG
– –
-25,300
Closed -$27K
FHY
777
DELISTED
First Trust Strategic High
FHY
– –
-11,812
Closed -$156K
CAVM
778
DELISTED
Cavium, Inc.
CAVM
– –
-10,375
Closed -$714K
AWH
779
DELISTED
Allied World Assurance Co Hld Lt
AWH
– –
-31,063
Closed -$1.34M
CHL
780
DELISTED
China Mobile Limited
CHL
– –
-28,269
Closed -$1.81M
HYF
781
DELISTED
MANAGED HIGH YLD PLUS FD INC
HYF
– –
-16,809
Closed -$30K
LNCO
782
DELISTED
LINNCO LLC COM SHS REPSTG LTD LIABILITY
LNCO
– –
-22,224
Closed -$210K
XLVS
783
DELISTED
POWERSHARES S&P SMALLCAP HEALTH CARE PORTFOLIO
XLVS
– –
-3,027
Closed -$216K
ARMH
784
DELISTED
ARM HOLDINGS PLC ADS
ARMH
– –
-33,099
Closed -$1.63M
TRND
785
DELISTED
ROYAL BK SCOTLAND PLC RBS US LARGE CAP TRENDPILOT ETNS
TRND
– –
-5,041
Closed -$200K
28 29 30 31
32

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Sigma Planning Corp's Q3 2015 Portfolio in Review

As of Q3 2015, Sigma Planning Corp held 790 positions worth $631M, down 13% from $724M the previous quarter. Its ten largest holdings account for 19% of the portfolio.

Sigma Planning Corp withdrew a net $43.6M in Q3 2015, closing 119 positions and reducing 320 holdings. Its most notable exit was Alphabet (Google) Class C, an estimated $2.72M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 6.1% of assets, down from 6.5% a quarter earlier, followed by Technology and Consumer Staples.

Against the trend, Sigma Planning Corp opened a new position in Global Net Lease worth $3.33M.

  • Sigma Planning Corp's largest Q3 2015 buy was Global Net Lease: 120,845 shares worth $3.33M.
  • Sigma Planning Corp added most to iShares Core S&P 500 ETF in Q3 2015, an estimated $7.14M increase.
  • Sigma Planning Corp's biggest Q3 2015 reduction was iPath S&P VEQTOR ETN, cutting an estimated $3.85M.
  • Sigma Planning Corp fully exited Alphabet (Google) Class C in Q3 2015, selling an estimated $2.72M.
  • Sigma Planning Corp's ten largest holdings make up 19% of its $631M portfolio in Q3 2015.
  • Sigma Planning Corp opened 84 new positions and closed 119 in Q3 2015.
  • Sigma Planning Corp's portfolio value fell 13% quarter-over-quarter to $631M.

Based on Sigma Planning Corp's 13F filing for Q3 2015, filed 2 Nov 2015.