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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
+1.79%
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
$2.08B
AUM Growth
+$143M
Cap. Flow
+$123M
Cap. Flow %
5.9%
Top 10 Hldgs %
20.64%
Holding
1,098
New
109
Increased
483
Reduced
383
Closed
98

Top Buys

Rank Stock Value
1
VGT icon
Vanguard Information Technology ETF
VGT
+$11.9M
2
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$8.9M
3
ACWV icon
iShares MSCI Global Min Vol Factor ETF
ACWV
+$8.48M
4
XMLV icon
Invesco S&P MidCap Low Volatility ETF
XMLV
+$7.6M
5
IVE icon
iShares S&P 500 Value ETF
IVE
+$7.12M

Top Sells

Rank Stock Value
1
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$9.05M
2
MBB icon
iShares MBS ETF
MBB
+$7.28M
3
VT icon
Vanguard Total World Stock ETF
VT
+$4.1M
4
ACWI icon
iShares MSCI ACWI ETF
ACWI
+$4.02M
5
FVC icon
First Trust Dorsey Wright Dynamic Focus 5 ETF
FVC
+$3.36M

Sector Composition

Rank Sector Weight
1 Technology 7.08%
2 Financials 4.39%
3 Consumer Discretionary 4.39%
4 Industrials 4.11%
5 Healthcare 3.92%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
OFS icon
826
OFS Capital
OFS
$43.8M
$262K 0.01%
22,568
+1,493
+7% +$17.2K
SCHM icon
827
Schwab US Mid-Cap ETF
SCHM
$14.6B
$262K 0.01%
13,923
+2,490
+22% +$47K
JRO
828
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
$262K 0.01%
27,444
-1,848
-6% -$17.8K
BXMX
829
DELISTED
Nuveen S&P 500 Buy-Write Income Fund
BXMX
$261K 0.01%
19,941
-2,489
-11% -$32.5K
FFC
830
Flaherty & Crumrine Preferred and Income Securities Fund
FFC
$768M
$261K 0.01%
12,465
-246
-2% -$5.01K
LKFT
831
Lakefront Biotherapeutics American Depositary Shares
LKFT
$1.82B
$259K 0.01%
1,696
+49
+3% +$8.03K
EVT icon
832
Eaton Vance Tax-Advantaged Dividend Income Fund
EVT
$2.06B
$257K 0.01%
10,456
+12
+0.1% +$289
IBD icon
833
Inspire Corporate Bond ETF
IBD
$481M
$257K 0.01%
10,000
– –
MSCI icon
834
MSCI
MSCI
$40B
$257K 0.01%
1,179
-32
-3% -$7.41K
LSCC icon
835
Lattice Semiconductor
LSCC
$17.6B
$255K 0.01%
+13,943
New +$255K
TDOC icon
836
Teladoc Health
TDOC
$1.58B
$254K 0.01%
3,753
+330
+10% +$21.7K
SON icon
837
Sonoco
SON
$5.76B
$253K 0.01%
4,352
-22
-0.5% -$1.31K
ALLE icon
838
Allegion
ALLE
$13B
$252K 0.01%
2,429
-89
-4% -$9.08K
BALL icon
839
Ball Corp
BALL
$17B
$252K 0.01%
3,460
-429
-11% -$32K
SCHA icon
840
Schwab U.S Small- Cap ETF
SCHA
$22.5B
$252K 0.01%
14,444
-29,832
-67% -$527K
TLTE icon
841
FlexShares Morningstar Emerging Markets Factor Tilt Index Fund
TLTE
$334M
$252K 0.01%
5,226
– –
IPAY icon
842
Amplify Mobile Payments ETF
IPAY
$154M
$250K 0.01%
5,362
-490
-8% -$23.5K
ITB icon
843
iShares US Home Construction ETF
ITB
$2.41B
$250K 0.01%
5,770
+112
+2% +$4.49K
IXJ icon
844
iShares Global Healthcare ETF
IXJ
$4.11B
$249K 0.01%
4,081
– –
BNS icon
845
Scotiabank
BNS
$106B
$248K 0.01%
4,364
-247
-5% -$13.3K
FYX icon
846
First Trust Small Cap Core AlphaDEX Fund
FYX
$1.36B
$248K 0.01%
4,120
-3,068
-43% -$184K
XLC icon
847
State Street Communication Services Select Sector SPDR ETF
XLC
$21.9B
$248K 0.01%
5,015
-599
-11% -$30K
DALI icon
848
First Trust DorseyWright DALI 1 ETF
DALI
$98.6M
$247K 0.01%
+12,393
New +$251K
WFC.PRL icon
849
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
$4.66B
$247K 0.01%
162
– –
BDCS
850
DELISTED
UBS AG Exchange Traded Access Securities (E-TRACS)Linked to the Wells Fargo Business Development Com
BDCS
$247K 0.01%
12,240
– –
32 33
34
35 36

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Sigma Planning Corp's Q3 2019 Portfolio in Review

As of Q3 2019, Sigma Planning Corp held 1,098 positions worth $2.08B, up 7.3% from $1.94B the previous quarter. Its ten largest holdings account for 21% of the portfolio.

Sigma Planning Corp deployed $123M of net new capital in Q3 2019, opening 109 new positions and adding to 483 existing holdings. Its largest new stake was Chipotle Mexican Grill: 389,450 shares worth $6.55M.

By sector, the portfolio is most concentrated in Technology at 7.1% of assets, down from 7.4% a quarter earlier, followed by Financials and Consumer Discretionary.

On the sell side, the largest reduction was iShares 20+ Year Treasury Bond ETF, an estimated $9.05M trimmed.

  • Sigma Planning Corp's largest Q3 2019 buy was Chipotle Mexican Grill: 389,450 shares worth $6.55M.
  • Sigma Planning Corp added most to Vanguard Information Technology ETF in Q3 2019, an estimated $11.9M increase.
  • Sigma Planning Corp's biggest Q3 2019 reduction was iShares 20+ Year Treasury Bond ETF, cutting an estimated $9.05M.
  • Sigma Planning Corp fully exited Vanguard Total World Stock ETF in Q3 2019, selling an estimated $4.1M.
  • Sigma Planning Corp's ten largest holdings make up 21% of its $2.08B portfolio in Q3 2019.
  • Sigma Planning Corp opened 109 new positions and closed 98 in Q3 2019.
  • Sigma Planning Corp's portfolio value rose 7.3% quarter-over-quarter to $2.08B.

Based on Sigma Planning Corp's 13F filing for Q3 2019, filed 1 Nov 2019.