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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
HYT icon
801
BlackRock Corporate High Yield Fund
HYT
$1.36B
$146K 0.01%
12,923
+669
+5% +$7.45K
EOI
802
Eaton Vance Enhanced Equity Income Fund
EOI
$808M
$144K 0.01%
+10,291
New +$140K
TAHO
803
DELISTED
Tahoe Resources Inc
TAHO
$138K 0.01%
26,136
+571
+2% +$3.11K
OIL
804
DELISTED
Barclays Bank PLC iPath Exchange Traded Notes Linked to Goldman Sachs Crude Oil Total Return In
OIL
$137K 0.01%
25,444
-3,015
-11% -$15.2K
AQMS icon
805
Aqua Metals
AQMS
$9.63M
$133K 0.01%
97
+37
+62% +$66.6K
IAG icon
806
IAMGOLD
IAG
$8.47B
$130K 0.01%
+21,328
New +$124K
SIRI icon
807
SiriusXM
SIRI
$10B
$129K 0.01%
2,330
+1
+0% +$55
DRD
808
DRDGold
DRD
$1.82B
$125K 0.01%
32,479
-4,646
-13% -$15.7K
CLF icon
809
Cleveland-Cliffs
CLF
$6.81B
$123K 0.01%
17,204
+3,000
+21% +$22.4K
MAG
810
DELISTED
MAG Silver
MAG
$122K 0.01%
10,830
-4,747
-30% -$60K
KGC icon
811
Kinross Gold
KGC
$28.5B
$121K 0.01%
+28,634
New +$122K
CBAY
812
DELISTED
Cymabay Therapeutics
CBAY
$121K 0.01%
15,000
+1,000
+7% +$6.76K
MUX icon
813
McEwen Inc
MUX
$1.03B
$120K 0.01%
6,174
+386
+7% +$9.45K
GSS
814
DELISTED
Golden Star Resources Ltd.
GSS
$118K 0.01%
30,794
-11,996
-28% -$42.3K
S
815
DELISTED
Sprint Corporation
S
$118K 0.01%
15,167
+1,582
+12% +$13K
CCJ icon
816
Cameco
CCJ
$38.3B
$115K 0.01%
11,855
+1,029
+10% +$10.2K
BCS icon
817
Barclays
BCS
$94.1B
$113K 0.01%
11,422
+464
+4% +$4.6K
PBT
818
Permian Basin Royalty Trust
PBT
$1.36B
$113K 0.01%
12,985
+181
+1% +$1.57K
JPC icon
819
Nuveen Preferred & Income Opportunities Fund
JPC
$2.89B
$111K 0.01%
+10,500
New +$110K
GOGL
820
DELISTED
Golden Ocean Group
GOGL
$109K 0.01%
13,947
+100
+0.7% +$804
RAD
821
DELISTED
Rite Aid Corporation
RAD
$102K 0.01%
2,600
-191
-7% -$9.05K
AWP
822
abrdn Global Premier Properties Fund
AWP
$377M
$99K 0.01%
4,981
-95
-2% -$1.84K
SITC icon
823
SITE Centers
SITC
$230M
$96K 0.01%
8,122
-454
-5% -$5.69K
MHF
824
Western Asset Municipal High Income Fund
MHF
$151M
$88K 0.01%
11,340
+42
+0.4% +$318
SAN icon
825
Banco Santander
SAN
$194B
$86K 0.01%
12,870
+1,780
+16% +$11.4K
31 32
33
34 35

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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.