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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 | |
|---|---|---|---|---|---|---|---|
801
WisdomTree US SmallCap Dividend Fund
DES
$2.11B
| $550K | 0.01% |
14,505
+365
| +3% | +$14.7K |
2016 Q4
39 quarters
|
|
802
iShares 10-20 Year Treasury Bond ETF
TLH
$12.3B
| $549K | 0.01% |
5,957
-4,669
| -44% | -$452K |
2024 Q1
10 quarters
|
|
803
Dimensional US Core Equity Market ETF
DFAU
$12.8B
| $548K | 0.01% |
10,475
+5
| +0% | +$263 |
2024 Q4
7 quarters
|
|
804
iShares US Small Cap Equity Factor ETF
SMLF
$4.25B
| $548K | 0.01% |
7,081
-852
| -11% | -$74.3K |
2025 Q1
6 quarters
|
|
805
Invesco S&P 500 Revenue ETF
RWL
$10.4B
| $546K | 0.01% |
4,245
-1,194
| -22% | -$158K |
2021 Q1
22 quarters
|
|
806
Global Ship Lease
GSL
$1.47B
| $542K | 0.01% |
12,282
-329
| -3% | -$14.2K |
2022 Q3
16 quarters
|
|
807
iShares Core Moderate Allocation ETF
AOM
$1.88B
| $542K | 0.01% |
11,122
-550
| -5% | -$27.2K |
2018 Q2
33 quarters
|
|
808
SoundHound AI
SOUN
$2.04B
| $540K | 0.01% |
89,670
-7,270
| -7% | -$48K |
2024 Q2
9 quarters
|
|
809
abrdn Total Dynamic Dividend Fund
AOD
$1.07B
| $538K | 0.01% |
52,984
+15,455
| +41% | +$163K |
2024 Q1
10 quarters
|
|
810
Star Bulk Carriers
SBLK
$3.12B
| $537K | 0.01% |
18,286
+4,484
| +32% | +$130K |
2024 Q1
10 quarters
|
|
811
iShares Russell 1000 ETF
IWB
$47.7B
| $535K | 0.01% |
1,286
-267
| -17% | -$111K |
2024 Q2
9 quarters
|
|
812
Fidelity MSCI Communication Services Index ETF
FCOM
$1.6B
| $534K | 0.01% |
7,413
-1,430
| -16% | -$102K |
2020 Q2
25 quarters
|
|
813
State Street SPDR Portfolio S&P 500 High Dividend ETF
SPYD
$7.79B
| $534K | 0.01% |
11,760
+3,046
| +35% | +$149K |
2024 Q1
10 quarters
|
|
814
FT Vest U.S. Equity Equal Weight Buffer ETF - December
RSDE
$32.8M
| $531K | 0.01% |
22,642
-224
| -1% | -$5.33K |
2025 Q1
6 quarters
|
|
815
Innovator US Equity Buffer ETF December
BDEC
$209M
| $531K | 0.01% |
9,719
-150
| -2% | -$8.12K |
2022 Q4
15 quarters
|
|
816
Anfield Universal Fixed Income ETF
AFIF
$225M
| $531K | 0.01% |
57,602
-590
| -1% | -$5.54K |
2026 Q1
2 quarters
|
|
817
Innovator US Equity Buffer ETF January
BJAN
$341M
| $531K | 0.01% |
8,769
-175
| -2% | -$10.5K |
2020 Q4
23 quarters
|
|
818
First Trust Large Cap Value AlphaDEX Fund
FTA
$1.45B
| $530K | 0.01% |
5,564
+11
| +0.2% | +$1.11K |
2019 Q1
30 quarters
|
|
819
Airbnb
ABNB
$113B
| $530K | 0.01% |
3,304
-521
| -14% | -$85.4K |
2021 Q1
22 quarters
|
|
820
Agnico Eagle Mines
AEM
$100B
| $529K | 0.01% |
2,892
-223
| -7% | -$39.6K |
2025 Q1
6 quarters
|
|
821
Schwab U.S Small- Cap ETF
SCHA
$22.2B
| $527K | 0.01% |
16,136
+745
| +5% | +$25.5K |
2025 Q1
6 quarters
|
|
822
O'Reilly Automotive
ORLY
$71.9B
| $522K | 0.01% |
6,117
-143
| -2% | -$12.6K |
2018 Q3
32 quarters
|
|
823
L3Harris
LHX
$49.9B
| $522K | 0.01% |
2,190
-242
| -10% | -$65.9K |
2019 Q3
28 quarters
|
|
824
First Trust Financials AlphaDEX Fund
FXO
$1.08B
| $519K | 0.01% |
8,570
+45
| +0.5% | +$2.92K |
2021 Q1
22 quarters
|
|
825
abrdn Physical Gold Shares ETF
SGOL
$6.88B
| $518K | 0.01% |
13,306
+1,004
| +8% | +$40.8K |
2018 Q4
31 quarters
|
|
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IP
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.