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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
AVK
826
Advent Convertible and Income Fund
AVK
$543M
$136K 0.01%
13,112
– –
AT
827
DELISTED
Atlantic Power Corporation
AT
$136K 0.01%
63,611
-446
-0.7% -$1.01K
GPK icon
828
Graphic Packaging
GPK
$3.3B
$135K 0.01%
11,062
-873
-7% -$12.9K
SIRI icon
829
SiriusXM
SIRI
$10.5B
$135K 0.01%
2,736
+570
+26% +$37.3K
ATAXZ
830
DELISTED
AMERICA FIRST TAX EXEMT INV LP
ATAXZ
$132K 0.01%
25,203
-3,959
-14% -$20.7K
X
831
DELISTED
US Steel
X
$131K 0.01%
20,793
+7,083
+52% +$59.3K
SKT icon
832
Tanger
SKT
$4.8B
$129K 0.01%
25,735
-1,239
-5% -$15.1K
GF
833
New Germany Fund
GF
$183M
$127K 0.01%
10,963
-4,795
-30% -$68.3K
AXAS
834
DELISTED
Abraxas Petroleum Corp
AXAS
$126K 0.01%
52,065
+3,775
+8% +$17K
EFT
835
Eaton Vance Floating-Rate Income Trust
EFT
$284M
$123K 0.01%
11,975
-1,959
-14% -$25K
FEN
836
DELISTED
First Trust Energy Income and Growth Fund
FEN
$123K 0.01%
14,112
+1,150
+9% +$20.9K
RQI icon
837
Cohen & Steers Quality Income Realty Fund
RQI
$1.71B
$122K 0.01%
13,550
-11,027
-45% -$140K
MNDT
838
DELISTED
Mandiant, Inc. Common Stock
MNDT
$121K 0.01%
11,429
-255
-2% -$3.67K
NIM icon
839
Nuveen Select Maturities Municipal Fund
NIM
$117M
$120K 0.01%
12,257
+932
+8% +$9.64K
INFY icon
840
Infosys
INFY
$47.4B
$118K 0.01%
14,315
-4,005
-22% -$40.3K
NFJ
841
Virtus Dividend, Interest & Premium Strategy Fund
NFJ
$1.41B
$118K 0.01%
12,250
– –
OFS icon
842
OFS Capital
OFS
$46M
$118K 0.01%
28,946
+5,179
+22% +$50.3K
VHC icon
843
CALL
VirnetX Holding Corp
VHC
$51M
$118K 0.01%
+1,080
New +$102K
GGN
844
GAMCO Global Gold, Natural Resources & Income Trust
GGN
$762M
$117K 0.01%
43,054
+6,730
+19% +$25.8K
KEY icon
845
KeyCorp
KEY
$24.1B
$107K 0.01%
10,360
-15,087
-59% -$251K
TLRY icon
846
CALL
Tilray
TLRY
$498M
$103K 0.01%
1,500
– –
SILJ icon
847
Amplify Junior Silver Miners ETF
SILJ
$3.29B
$101K 0.01%
+15,240
New +$149K
IVR icon
848
Invesco Mortgage Capital
IVR
$762M
$98K 0.01%
2,860
+464
+19% +$68.1K
RLJ icon
849
RLJ Lodging Trust
RLJ
$1.9B
$98K 0.01%
+12,700
New +$171K
JRO
850
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
$98K 0.01%
13,232
+630
+5% +$5.75K
32 33
34
35 36

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WB
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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.