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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
+3.99%
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
$1.21B
AUM Growth
+$148M
Cap. Flow
+$110M
Cap. Flow %
9.07%
Top 10 Hldgs %
19.82%
Holding
899
New
109
Increased
447
Reduced
277
Closed
52

Top Buys

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$15M
2
IVW icon
iShares S&P 500 Growth ETF
IVW
+$9.39M
3
IUSV icon
iShares Core S&P US Value ETF
IUSV
+$6.58M
4
IJH icon
iShares Core S&P Mid-Cap ETF
IJH
+$5.08M
5
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$4.82M

Top Sells

Rank Stock Value
1
EFV icon
iShares MSCI EAFE Value ETF
EFV
+$8.5M
2
VNQ icon
Vanguard Real Estate ETF
VNQ
+$7.19M
3
IUSG icon
iShares Core S&P US Growth ETF
IUSG
+$4.35M
4
FENY icon
Fidelity MSCI Energy Index ETF
FENY
+$3.23M
5
DD icon
DuPont de Nemours
DD
+$2.81M

Sector Composition

Rank Sector Weight
1 Technology 6.02%
2 Healthcare 4.77%
3 Financials 4.73%
4 Industrials 4.48%
5 Consumer Staples 4%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
WEN icon
776
Wendy's
WEN
$1.33B
$199K 0.02%
12,829
+1,607
+14% +$24.6K
FLG
777
Flagstar Bank National Association
FLG
$5.77B
$194K 0.02%
5,028
+1,603
+47% +$60.5K
SAND
778
DELISTED
Sandstorm Gold
SAND
$193K 0.02%
42,590
+27,165
+176% +$119K
NUV icon
779
Nuveen Municipal Value Fund
NUV
$1.91B
$192K 0.02%
18,781
-4,026
-18% -$41K
EZPW icon
780
Ezcorp Inc
EZPW
$1.82B
$189K 0.02%
19,870
-650
-3% -$5.68K
BDCL
781
DELISTED
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
$187K 0.02%
10,161
-1,241
-11% -$22.6K
BWP
782
DELISTED
Boardwalk Pipeline Partners
BWP
$187K 0.02%
12,697
-2,928
-19% -$46.4K
NAD icon
783
Nuveen Quality Municipal Income Fund
NAD
$2.71B
$179K 0.01%
12,644
+74
+0.6% +$1.05K
PMF
784
DELISTED
PIMCO Municipal Income Fund
PMF
$178K 0.01%
13,041
+14
+0.1% +$195
CHK
785
DELISTED
Chesapeake Energy Corporation
CHK
$177K 0.01%
206
+134
+186% +$115K
MNDT
786
DELISTED
Mandiant, Inc. Common Stock
MNDT
$175K 0.01%
10,409
-350
-3% -$5.38K
CYS
787
DELISTED
CYS Investments Inc.
CYS
$175K 0.01%
20,288
+166
+0.8% +$1.43K
MFA
788
MFA Financial
MFA
$929M
$170K 0.01%
4,841
+61
+1% +$2.12K
JCO
789
DELISTED
Nuveen Credit Opportunities 2022 Target Term Fund
JCO
$169K 0.01%
17,139
+6,139
+56% +$61.4K
FCX icon
790
CALL
Freeport-McMoran
FCX
$90B
$168K 0.01%
+12,000
New +$169K
PFX icon
791
PhenixFIN
PFX
$83.9M
$167K 0.01%
1,403
-28
-2% -$3.47K
DBRG icon
792
DigitalBridge
DBRG
$2.94B
$160K 0.01%
3,192
-287
-8% -$15.7K
FAX
793
abrdn Asia-Pacific Income Fund
FAX
$590M
$158K 0.01%
5,100
+3,250
+176% +$100K
GGN
794
GAMCO Global Gold, Natural Resources & Income Trust
GGN
$767M
$157K 0.01%
+28,042
New +$157K
MZF
795
DELISTED
Managed Duration Inv Grd Muni Fd
MZF
$157K 0.01%
11,355
-11,440
-50% -$159K
BB icon
796
BlackBerry
BB
$5.01B
$154K 0.01%
13,784
-703
-5% -$6.61K
RF icon
797
Regions Financial
RF
$26.3B
$153K 0.01%
10,040
-25,146
-71% -$362K
HPE icon
798
Hewlett Packard
HPE
$63.2B
$150K 0.01%
10,168
-6,202
-38% -$84.6K
CDE icon
799
Coeur Mining
CDE
$15.6B
$147K 0.01%
16,042
-608
-4% -$5.17K
DF
800
DELISTED
Dean Foods Company
DF
$147K 0.01%
13,542
+1,401
+12% +$18K
30 31
32
33 34

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Sigma Planning Corp's Q3 2017 Portfolio in Review

As of Q3 2017, Sigma Planning Corp held 899 positions worth $1.21B, up 14% from $1.06B the previous quarter. Its ten largest holdings account for 20% of the portfolio.

Sigma Planning Corp deployed $110M of net new capital in Q3 2017, opening 109 new positions and adding to 447 existing holdings. Its largest new stake was Invesco Dorsey Wright SmallCap Momentum ETF: 40,931 shares worth $1.94M.

By sector, the portfolio is most concentrated in Technology at 6% of assets, up from 5.7% a quarter earlier, followed by Healthcare and Financials.

On the sell side, the largest reduction was iShares MSCI EAFE Value ETF, an estimated $8.5M trimmed.

  • Sigma Planning Corp's largest Q3 2017 buy was Invesco Dorsey Wright SmallCap Momentum ETF: 40,931 shares worth $1.94M.
  • Sigma Planning Corp added most to iShares Core S&P 500 ETF in Q3 2017, an estimated $15M increase.
  • Sigma Planning Corp's biggest Q3 2017 reduction was iShares MSCI EAFE Value ETF, cutting an estimated $8.5M.
  • Sigma Planning Corp fully exited DuPont de Nemours in Q3 2017, selling an estimated $2.81M.
  • Sigma Planning Corp's ten largest holdings make up 20% of its $1.21B portfolio in Q3 2017.
  • Sigma Planning Corp opened 109 new positions and closed 52 in Q3 2017.
  • Sigma Planning Corp's portfolio value rose 14% quarter-over-quarter to $1.21B.

Based on Sigma Planning Corp's 13F filing for Q3 2017, filed 6 Nov 2017.