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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
SJT
826
San Juan Basin Royalty Trust
SJT
$117M
$85K 0.01%
10,838
-2,845
-21% -$19.9K
CFMS
827
DELISTED
Conformis, Inc. Common Stock
CFMS
$83K 0.01%
+948
New +$93.9K
CLF icon
828
CALL
Cleveland-Cliffs
CLF
$6.81B
$79K 0.01%
+11,000
New +$82.1K
AGI icon
829
Alamos Gold
AGI
$12.4B
$71K 0.01%
10,458
-18
-0.2% -$132
NAT icon
830
Nordic American Tanker
NAT
$1.37B
$70K 0.01%
13,057
-11,014
-46% -$60.4K
OXSQ icon
831
Oxford Square Capital
OXSQ
$151M
$70K 0.01%
10,200
-500
-5% -$3.35K
ESV
832
DELISTED
Ensco Rowan plc
ESV
$70K 0.01%
+2,934
New +$58.5K
KOPN icon
833
Kopin
KOPN
$663M
$54K ﹤0.01%
13,000
– –
DHY
834
Credit Suisse High Yield Credit Fund
DHY
$238M
$50K ﹤0.01%
17,521
+7
+0% +$20
XXII
835
22nd Century Group
XXII
$1.47M
– –
0
– –
AUY
836
DELISTED
Yamana Gold, Inc.
AUY
$48K ﹤0.01%
18,108
+1,947
+12% +$5.18K
REED
837
DELISTED
Reeds, Inc. Common Stock
REED
$45K ﹤0.01%
412
+25
+6% +$2.44K
TULP
838
Bloomia Holdings
TULP
$44K ﹤0.01%
5,757
– –
SENS icon
839
Senseonics Holdings Inc
SENS
$254M
$44K ﹤0.01%
+685
New +$35.7K
BDSI
840
DELISTED
BioDelivery Sciences International, Inc.
BDSI
$43K ﹤0.01%
14,472
+1,613
+13% +$4.91K
CYTO
841
DELISTED
Altamira Therapeutics Ltd
CYTO
$35K ﹤0.01%
+1
New +$60.9K
AT
842
DELISTED
Atlantic Power Corporation
AT
$32K ﹤0.01%
13,036
+2,820
+28% +$6.77K
PLUG icon
843
Plug Power
PLUG
$2.92B
$31K ﹤0.01%
11,876
+350
+3% +$780
UEC icon
844
Uranium Energy
UEC
$4.71B
$19K ﹤0.01%
14,113
-180
-1% -$263
PGH
845
DELISTED
Pengrowth Energy Corporation
PGH
$17K ﹤0.01%
16,278
-1,000
-6% -$721
AGZ icon
846
iShares Agency Bond ETF
AGZ
$553M
– –
-24,488
Closed -$2.78M
AIG icon
847
American International
AIG
$41.9B
– –
-3,316
Closed -$207K
AIRR icon
848
First Trust RBA American Industrial Renaissance ETF
AIRR
$10.5B
– –
-9,317
Closed -$221K
CAF
849
Morgan Stanley China A Share Fund
CAF
$334M
– –
-9,901
Closed -$221K
CEVA icon
850
CEVA Inc
CEVA
$1.01B
– –
-8,483
Closed -$386K
32 33
34
35 36

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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.