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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
-4.66%
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
$2.62B
AUM Growth
-$254M
Cap. Flow
-$114M
Cap. Flow %
-4.33%
Top 10 Hldgs %
20.41%
Holding
1,363
New
75
Increased
591
Reduced
553
Closed
102

Top Buys

Rank Stock Value
1
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$18.1M
2
PEP icon
PepsiCo
PEP
+$8.37M
3
IVV icon
iShares Core S&P 500 ETF
IVV
+$7.73M
4
PSTP icon
Innovator Power Buffer Step-Up Strategy ETF
PSTP
+$4.94M
5
BALT icon
Innovator Defined Wealth Shield ETF
BALT
+$4.86M

Top Sells

Rank Stock Value
1
GLD icon
SPDR Gold Trust
GLD
+$8.96M
2
UUP icon
Invesco DB US Dollar Index Bullish Fund
UUP
+$6.66M
3
FTGC icon
First Trust Global Tactical Commodity Strategy Fund
FTGC
+$6.62M
4
CDC icon
VictoryShares US EQ Income Enhanced Volatility Wtd ETF
CDC
+$6.14M
5
PSFF icon
Pacer Swan SOS Fund of Funds ETF
PSFF
+$4.28M

Sector Composition

Rank Sector Weight
1 Technology 9.92%
2 Healthcare 5.17%
3 Consumer Discretionary 4.8%
4 Financials 4.33%
5 Consumer Staples 3.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RPM icon
801
RPM International
RPM
$13.7B
$421K 0.02%
5,050
-109
-2% -$9.68K
CUE icon
802
Cue Biopharma
CUE
$135M
$420K 0.02%
6,281
+711
+13% +$61.2K
RCKT icon
803
Rocket Pharmaceuticals
RCKT
$348M
$420K 0.02%
26,320
+5,030
+24% +$78.5K
BHVN
804
DELISTED
Biohaven Pharmaceutical Holding Company Ltd.
BHVN
$420K 0.02%
2,781
+279
+11% +$41.3K
DFS
805
DELISTED
Discover Financial Services
DFS
$417K 0.02%
4,590
+156
+4% +$15.8K
AM icon
806
Antero Midstream
AM
$10.8B
$416K 0.02%
45,313
+12,230
+37% +$120K
FPX icon
807
First Trust US Equity Opportunities ETF
FPX
$1.51B
$415K 0.02%
5,115
+19
+0.4% +$1.67K
VWOB icon
808
Vanguard Emerging Markets Government Bond ETF
VWOB
$6.15B
$415K 0.02%
7,226
+2,014
+39% +$124K
LZB icon
809
La-Z-Boy
LZB
$1.59B
$414K 0.02%
18,331
+79
+0.4% +$2.1K
VIGI icon
810
Vanguard International Dividend Appreciation ETF
VIGI
$8.89B
$414K 0.02%
6,680
+200
+3% +$13.7K
SI
811
DELISTED
Silvergate Capital Corporation
SI
$414K 0.02%
5,498
+98
+2% +$8.34K
KXI icon
812
iShares Global Consumer Staples ETF
KXI
$1.03B
$413K 0.02%
7,703
-265
-3% -$15.5K
MDYV icon
813
State Street SPDR S&P 400 Mid Cap Value ETF
MDYV
$2.76B
$413K 0.02%
7,150
-700
-9% -$44.7K
POWA icon
814
Invesco Bloomberg Pricing Power ETF
POWA
$174M
$408K 0.02%
6,772
+3,421
+102% +$225K
BAUG icon
815
Innovator US Equity Buffer ETF August
BAUG
$197M
$406K 0.02%
+14,352
New +$440K
DNP icon
816
DNP Select Income Fund
DNP
$4.18B
$406K 0.02%
39,156
-206
-0.5% -$2.3K
BLDR icon
817
Builders FirstSource
BLDR
$7.84B
$404K 0.02%
6,860
+1,359
+25% +$85K
EEMS icon
818
iShares MSCI Emerging Markets Small-Cap ETF
EEMS
$354M
$404K 0.02%
8,900
-2,043
-19% -$99.6K
NWL icon
819
Newell Brands
NWL
$2.16B
$403K 0.02%
29,030
+10,909
+60% +$204K
WY icon
820
Weyerhaeuser
WY
$17.3B
$403K 0.02%
14,104
-1,498
-10% -$51K
CE icon
821
Celanese
CE
$5.09B
$402K 0.02%
4,451
+464
+12% +$51K
QQQ icon
822
PUT
Invesco QQQ Trust
QQQ
$450B
$401K 0.02%
1,500
-249,500
-99% -$75.3M
HLT icon
823
Hilton Worldwide
HLT
$74B
$400K 0.02%
3,315
+235
+8% +$29.7K
IMO icon
824
Imperial Oil
IMO
$62.1B
$398K 0.02%
9,188
+32
+0.3% +$1.46K
AGNT
825
AGNT Inc
AGNT
$665M
$397K 0.02%
35,431
+99
+0.3% +$1.38K
31 32
33
34 35

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Sigma Planning Corp's Q3 2022 Portfolio in Review

As of Q3 2022, Sigma Planning Corp held 1,363 positions worth $2.62B, down 8.8% from $2.88B the previous quarter. Its ten largest holdings account for 20% of the portfolio.

Sigma Planning Corp withdrew a net $114M in Q3 2022, closing 102 positions and reducing 553 holdings. Its most notable exit was Pacer Swan SOS Fund of Funds ETF, an estimated $4.28M position sold in full.

By sector, the portfolio is most concentrated in Technology at 9.9% of assets, up from 9.7% a quarter earlier, followed by Healthcare and Consumer Discretionary.

Against the trend, Sigma Planning Corp opened a new position in iShares 1-3 Year Treasury Bond ETF worth $17.8M.

  • Sigma Planning Corp's largest Q3 2022 buy was iShares 1-3 Year Treasury Bond ETF: 219,466 shares worth $17.8M.
  • Sigma Planning Corp added most to iShares Core S&P 500 ETF in Q3 2022, an estimated $7.73M increase.
  • Sigma Planning Corp's biggest Q3 2022 reduction was SPDR Gold Trust, cutting an estimated $8.96M.
  • Sigma Planning Corp fully exited Pacer Swan SOS Fund of Funds ETF in Q3 2022, selling an estimated $4.28M.
  • Sigma Planning Corp's ten largest holdings make up 20% of its $2.62B portfolio in Q3 2022.
  • Sigma Planning Corp opened 75 new positions and closed 102 in Q3 2022.
  • Sigma Planning Corp's portfolio value fell 8.8% quarter-over-quarter to $2.62B.

Based on Sigma Planning Corp's 13F filing for Q3 2022, filed 10 Nov 2022.