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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
-15.19%
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
$1.68B
AUM Growth
-$686M
Cap. Flow
-$313M
Cap. Flow %
-18.61%
Top 10 Hldgs %
24.56%
Holding
1,150
New
99
Increased
340
Reduced
463
Closed
235

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$14.9M
2
QQQ icon
Invesco QQQ Trust
QQQ
+$13M
3
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$11M
4
FTSM icon
First Trust Enhanced Short Maturity ETF
FTSM
+$4.19M
5
MINT icon
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
+$3.69M

Top Sells

Rank Stock Value
1
SPLV icon
Invesco S&P 500 Low Volatility ETF
SPLV
+$16M
2
IVW icon
iShares S&P 500 Growth ETF
IVW
+$12.7M
3
XMLV icon
Invesco S&P MidCap Low Volatility ETF
XMLV
+$9.08M
4
EFAV icon
iShares MSCI EAFE Min Vol Factor ETF
EFAV
+$8.23M
5
CPRT icon
Copart
CPRT
+$7.69M

Sector Composition

Rank Sector Weight
1 Technology 8.92%
2 Healthcare 4.9%
3 Consumer Discretionary 4.23%
4 Communication Services 3.99%
5 Consumer Staples 3.91%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BRT
801
BRT Apartments
BRT
$283M
$180K 0.01%
17,562
+2,275
+15% +$35.1K
VMO icon
802
Invesco Municipal Opportunity Trust
VMO
$653M
$176K 0.01%
15,371
+64
+0.4% +$790
OXY icon
803
Occidental Petroleum
OXY
$54.6B
$172K 0.01%
14,896
+1,133
+8% +$37.2K
ENBL
804
DELISTED
ENABLE MIDSTREAM PARTNERS, LP
ENBL
$171K 0.01%
66,602
+37,389
+128% +$270K
AGNT
805
AGNT Inc
AGNT
$690M
$169K 0.01%
39,982
+2,190
+6% +$11.2K
DALI icon
806
First Trust DorseyWright DALI 1 ETF
DALI
$98.2M
$167K 0.01%
10,093
-753
-7% -$15.1K
HUN icon
807
Huntsman Corp
HUN
$2.06B
$167K 0.01%
+11,566
New +$226K
GNW icon
808
Genworth Financial
GNW
$3.79B
$165K 0.01%
49,570
+5,650
+13% +$23.4K
BDCS
809
DELISTED
UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com
BDCS
$165K 0.01%
14,664
– –
JFR icon
810
Nuveen Floating Rate Income Fund
JFR
$1.24B
$162K 0.01%
21,481
-5,635
-21% -$52.2K
NWL icon
811
Newell Brands
NWL
$2.2B
$162K 0.01%
12,177
-1,148
-9% -$19.8K
VPC icon
812
Virtus Private Credit Strategy ETF
VPC
$30.1M
$160K 0.01%
10,805
+2,306
+27% +$52.4K
CEQP
813
DELISTED
Crestwood Equity Partners LP
CEQP
$156K 0.01%
36,855
+23,707
+180% +$513K
PDT
814
John Hancock Premium Dividend Fund
PDT
$637M
$155K 0.01%
+12,750
New +$205K
MFIC icon
815
MidCap Financial Investment
MFIC
$790M
$151K 0.01%
22,310
-4,646
-17% -$69.3K
TSLX icon
816
Sixth Street Specialty
TSLX
$1.63B
$151K 0.01%
10,871
-315
-3% -$6.37K
VER
817
DELISTED
VEREIT, Inc.
VER
$150K 0.01%
6,149
-496
-7% -$21K
FULT icon
818
Fulton Financial
FULT
$4.67B
$146K 0.01%
+12,688
New +$195K
BXMX
819
DELISTED
Nuveen S&P 500 Buy-Write Income Fund
BXMX
$145K 0.01%
14,367
-4,487
-24% -$55.9K
CGC
820
CALL
Canopy Growth
CGC
$390M
$144K 0.01%
1,000
– –
DIV icon
821
Global X SuperDividend US ETF
DIV
$787M
$143K 0.01%
11,096
+564
+5% +$11.5K
PBI icon
822
Pitney Bowes
PBI
$2.46B
$143K 0.01%
70,062
+10,421
+17% +$35.7K
VOD icon
823
Vodafone
VOD
$36.4B
$143K 0.01%
10,398
-1,789
-15% -$32K
GBDC icon
824
Golub Capital BDC
GBDC
$3.36B
$141K 0.01%
11,465
-1,895
-14% -$31K
APTS
825
DELISTED
Preferred Apartment Communities, Inc.
APTS
$138K 0.01%
19,217
-72
-0.4% -$781
31 32
33
34 35

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Sigma Planning Corp's Q1 2020 Portfolio in Review

As of Q1 2020, Sigma Planning Corp held 1,150 positions worth $1.68B, down 29% from $2.37B the previous quarter. Its ten largest holdings account for 25% of the portfolio.

Sigma Planning Corp withdrew a net $313M in Q1 2020, closing 235 positions and reducing 463 holdings. Its most notable exit was Copart, an estimated $7.69M position sold in full.

By sector, the portfolio is most concentrated in Technology at 8.9% of assets, up from 7.4% a quarter earlier, followed by Healthcare and Consumer Discretionary.

Against the trend, Sigma Planning Corp opened a new position in VanEck Semiconductor ETF worth $2.81M.

  • Sigma Planning Corp's largest Q1 2020 buy was VanEck Semiconductor ETF: 47,920 shares worth $2.81M.
  • Sigma Planning Corp added most to State Street SPDR S&P 500 ETF Trust in Q1 2020, an estimated $14.9M increase.
  • Sigma Planning Corp's biggest Q1 2020 reduction was Invesco S&P 500 Low Volatility ETF, cutting an estimated $16M.
  • Sigma Planning Corp fully exited Copart in Q1 2020, selling an estimated $7.69M.
  • Sigma Planning Corp's ten largest holdings make up 25% of its $1.68B portfolio in Q1 2020.
  • Sigma Planning Corp opened 99 new positions and closed 235 in Q1 2020.
  • Sigma Planning Corp's portfolio value fell 29% quarter-over-quarter to $1.68B.

Based on Sigma Planning Corp's 13F filing for Q1 2020, filed 1 May 2020.