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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
+2.31%
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
$915M
AUM Growth
+$71.4M
Cap. Flow
+$59.7M
Cap. Flow %
6.52%
Top 10 Hldgs %
17.37%
Holding
832
New
89
Increased
316
Reduced
308
Closed
97

Top Buys

Rank Stock Value
1
IUSV icon
iShares Core S&P US Value ETF
IUSV
+$8.45M
2
DGRO icon
iShares Core Dividend Growth ETF
DGRO
+$7.41M
3
HDV
iShares Core High Dividend ETF
HDV
+$7.4M
4
IWM icon
iShares Russell 2000 ETF
IWM
+$6.26M
5
IUSG icon
iShares Core S&P US Growth ETF
IUSG
+$5.04M

Top Sells

Rank Stock Value
1
IVW icon
iShares S&P 500 Growth ETF
IVW
+$4.63M
2
IEF icon
iShares 7-10 Year Treasury Bond ETF
IEF
+$3.97M
3
RING icon
iShares MSCI Global Gold Miners ETF
RING
+$3.6M
4
IYR icon
iShares US Real Estate ETF
IYR
+$1.86M
5
IJJ icon
iShares S&P Mid-Cap 400 Value ETF
IJJ
+$1.6M

Sector Composition

Rank Sector Weight
1 Technology 5.02%
2 Consumer Staples 4.87%
3 Financials 4.78%
4 Industrials 4.53%
5 Healthcare 4.28%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ILTB icon
776
iShares Core 10+ Year USD Bond ETF
ILTB
$596M
– –
-4,457
Closed -$297K
IXJ icon
777
iShares Global Healthcare ETF
IXJ
$4.11B
– –
-4,394
Closed -$221K
JCI icon
778
Johnson Controls International
JCI
$87.5B
– –
-4,708
Closed -$219K
LDP icon
779
Cohen & Steers Duration Preferred & Income Fund
LDP
$602M
– –
-17,675
Closed -$444K
LXU icon
780
CALL
LSB Industries
LXU
$881M
– –
-14,300
Closed -$94K
LXU icon
781
LSB Industries
LXU
$881M
– –
-13,033
Closed -$86K
MAG
782
DELISTED
MAG Silver
MAG
– –
-67,276
Closed -$1.01M
MCK icon
783
McKesson
MCK
$98.5B
– –
-1,868
Closed -$312K
MFA
784
MFA Financial
MFA
$929M
– –
-3,205
Closed -$96K
MRSH
785
Marsh
MRSH
$86.3B
– –
-4,805
Closed -$323K
MMU
786
Western Asset Managed Municipals Fund
MMU
$549M
– –
-12,000
Closed -$182K
MYI icon
787
BlackRock MuniYield Quality Fund III
MYI
$709M
– –
-15,714
Closed -$239K
NOK icon
788
Nokia
NOK
$50.8B
– –
-14,514
Closed -$84K
PANW icon
789
Palo Alto Networks
PANW
$264B
– –
-9,564
Closed -$254K
QQQ icon
790
PUT
Invesco QQQ Trust
QQQ
$455B
– –
-3,000
Closed -$356K
RSPN icon
791
Invesco S&P 500 Equal Weight Industrials ETF
RSPN
$1.1B
– –
-19,550
Closed -$364K
SCHD icon
792
Schwab US Dividend Equity ETF
SCHD
$102B
– –
-15,027
Closed -$212K
SCHP icon
793
Schwab US TIPS ETF
SCHP
$16.3B
– –
-34,928
Closed -$997K
SLVO icon
794
Credit Suisse X-Links Silver Shares Covered Call ETNs due April 21 2033
SLVO
$11.3M
– –
-552
Closed -$111K
SPYD icon
795
State Street SPDR Portfolio S&P 500 High Dividend ETF
SPYD
$7.66B
– –
-23,555
Closed -$809K
UNIT
796
Uniti Group
UNIT
$2.63B
– –
-6,657
Closed -$209K
VIOG icon
797
Vanguard S&P Small-Cap 600 Growth ETF
VIOG
$1.04B
– –
-8,064
Closed -$476K
VIOV icon
798
Vanguard S&P Small-Cap 600 Value ETF
VIOV
$1.85B
– –
-11,060
Closed -$596K
VOD icon
799
Vodafone
VOD
$34.9B
– –
-9,633
Closed -$281K
VTIP icon
800
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
$19.1B
– –
-11,109
Closed -$552K
30 31
32
33 34

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Sigma Planning Corp's Q4 2016 Portfolio in Review

As of Q4 2016, Sigma Planning Corp held 832 positions worth $915M, up 8.5% from $843M the previous quarter. Its ten largest holdings account for 17% of the portfolio.

Sigma Planning Corp deployed $59.7M of net new capital in Q4 2016, opening 89 new positions and adding to 316 existing holdings. Its largest new stake was ProShares Ultra S&P500: 356,808 shares worth $3.4M.

By sector, the portfolio is most concentrated in Technology at 5% of assets, up from 4.9% a quarter earlier, followed by Consumer Staples and Financials.

On the sell side, the largest reduction was iShares S&P 500 Growth ETF, an estimated $4.63M trimmed.

  • Sigma Planning Corp's largest Q4 2016 buy was ProShares Ultra S&P500: 356,808 shares worth $3.4M.
  • Sigma Planning Corp added most to iShares Core S&P US Value ETF in Q4 2016, an estimated $8.45M increase.
  • Sigma Planning Corp's biggest Q4 2016 reduction was iShares S&P 500 Growth ETF, cutting an estimated $4.63M.
  • Sigma Planning Corp fully exited Guggenheim BulletShares 2016 High Yield Corporate Bond ETF in Q4 2016, selling an estimated $1.25M.
  • Sigma Planning Corp's ten largest holdings make up 17% of its $915M portfolio in Q4 2016.
  • Sigma Planning Corp opened 89 new positions and closed 97 in Q4 2016.
  • Sigma Planning Corp's portfolio value rose 8.5% quarter-over-quarter to $915M.

Based on Sigma Planning Corp's 13F filing for Q4 2016, filed 23 Jan 2017.