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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
-3.05%
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
$2.67B
AUM Growth
-$117M
Cap. Flow
+$7.73M
Cap. Flow %
0.29%
Top 10 Hldgs %
22.23%
Holding
1,324
New
121
Increased
493
Reduced
556
Closed
129

Top Buys

Rank Stock Value
1
XAUG icon
FT Vest US Equity Enhance & Moderate Buffer ETF August
XAUG
+$11M
2
ABBV icon
AbbVie
ABBV
+$5.08M
3
XLI icon
State Street Industrial Select Sector SPDR ETF
XLI
+$4.55M
4
MOAT icon
VanEck Morningstar Wide Moat ETF
MOAT
+$3.89M
5
ABT icon
Abbott
ABT
+$3.79M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$5.16M
2
EFA icon
iShares MSCI EAFE ETF
EFA
+$3.76M
3
AZO icon
AutoZone
AZO
+$3.74M
4
TSLA icon
Tesla
TSLA
+$3.66M
5
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$3.53M

Sector Composition

Rank Sector Weight
1 Technology 11.22%
2 Healthcare 4.66%
3 Consumer Discretionary 4.34%
4 Financials 4.17%
5 Industrials 3.45%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FDRR icon
826
Fidelity Dividend ETF for Rising Rates
FDRR
$732M
$384K 0.01%
9,650
-626
-6% -$26.1K
VIOG icon
827
Vanguard S&P Small-Cap 600 Growth ETF
VIOG
$1.04B
$383K 0.01%
+4,059
New +$403K
BEN icon
828
Franklin Resources
BEN
$16.9B
$382K 0.01%
15,534
-201
-1% -$5.44K
SPMD icon
829
State Street SPDR Portfolio S&P 400 Mid Cap ETF
SPMD
$18.2B
$382K 0.01%
8,717
-3,033
-26% -$139K
ATO icon
830
Atmos Energy
ATO
$29.9B
$381K 0.01%
3,601
+160
+5% +$18.7K
ARKQ icon
831
ARK Autonomous Technology & Robotics ETF
ARKQ
$1.88B
$381K 0.01%
7,266
-314
-4% -$17.3K
VIS icon
832
Vanguard Industrials ETF
VIS
$8.23B
$381K 0.01%
1,952
+346
+22% +$71K
CPA icon
833
Copa Holdings
CPA
$5.56B
$380K 0.01%
4,267
+1,160
+37% +$120K
EEMS icon
834
iShares MSCI Emerging Markets Small-Cap ETF
EEMS
$354M
$380K 0.01%
6,954
+900
+15% +$49.7K
PAPR icon
835
Innovator US Equity Power Buffer ETF April
PAPR
$946M
$377K 0.01%
12,311
-2,858
-19% -$88.7K
FITB
836
Fifth Third Bancorp
FITB
$52B
$376K 0.01%
14,854
-1,794
-11% -$48.4K
DNP icon
837
DNP Select Income Fund
DNP
$4.18B
$376K 0.01%
39,463
+1,731
+5% +$17.5K
CGGO icon
838
Capital Group Global Growth Equity ETF
CGGO
$11.2B
$372K 0.01%
+16,222
New +$389K
PPL
839
PPL Corp
PPL
$27.3B
$372K 0.01%
15,779
-4,609
-23% -$119K
ULST icon
840
State Street Ultra Short Term Bond ETF
ULST
$527M
$371K 0.01%
+9,203
New +$370K
OXLC
841
Oxford Lane Capital
OXLC
$830M
$370K 0.01%
14,845
+264
+2% +$6.8K
IYE icon
842
iShares US Energy ETF
IYE
$1.74B
$370K 0.01%
7,795
-1,443
-16% -$66.6K
FSMB icon
843
First Trust Short Duration Managed Municipal ETF
FSMB
$618M
$366K 0.01%
18,899
-14,066
-43% -$277K
NULG icon
844
Nuveen ESG Large-Cap Growth ETF
NULG
$2.67B
$365K 0.01%
+6,087
New +$381K
ALTL icon
845
Pacer Lunt Large Cap Alternator ETF
ALTL
$92.8M
$365K 0.01%
10,593
-24,648
-70% -$913K
FEN
846
DELISTED
First Trust Energy Income and Growth Fund
FEN
$364K 0.01%
27,646
+816
+3% +$11.3K
COR icon
847
Cencora
COR
$60.3B
$363K 0.01%
2,014
+122
+6% +$22.5K
DSL
848
DoubleLine Income Solutions Fund
DSL
$1.21B
$361K 0.01%
30,828
+5,074
+20% +$60.7K
IYK icon
849
iShares US Consumer Staples ETF
IYK
$1.39B
$360K 0.01%
5,796
-2,100
-27% -$139K
UITB icon
850
Victory Portfolios II VictoryShares Core Intermediate Bond ETF
UITB
$2.64B
$359K 0.01%
8,067
+62
+0.8% +$2.82K
32 33
34
35 36

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SCM
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BPS
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VPC
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ACM
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WWA
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Sigma Planning Corp's Q3 2023 Portfolio in Review

As of Q3 2023, Sigma Planning Corp held 1,324 positions worth $2.67B, down 4.2% from $2.78B the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Sigma Planning Corp's Q3 2023 filing shows 121 new, 493 increased, 556 reduced and 129 closed positions. Its largest new stake was FT Vest US Equity Enhance & Moderate Buffer ETF August: 366,335 shares worth $10.9M. The largest sale was Apple, an estimated $5.16M.

By sector, the portfolio is most concentrated in Technology at 11% of assets, down from 12% a quarter earlier, followed by Healthcare and Consumer Discretionary.

  • Sigma Planning Corp's largest Q3 2023 buy was FT Vest US Equity Enhance & Moderate Buffer ETF August: 366,335 shares worth $10.9M.
  • Sigma Planning Corp added most to AbbVie in Q3 2023, an estimated $5.08M increase.
  • Sigma Planning Corp's biggest Q3 2023 reduction was Apple, cutting an estimated $5.16M.
  • Sigma Planning Corp fully exited FT Vest Gold Strategy Target Income ETF in Q3 2023, selling an estimated $2.89M.
  • Sigma Planning Corp's ten largest holdings make up 22% of its $2.67B portfolio in Q3 2023.
  • Sigma Planning Corp opened 121 new positions and closed 129 in Q3 2023.
  • Sigma Planning Corp's portfolio value fell 4.2% quarter-over-quarter to $2.67B.

Based on Sigma Planning Corp's 13F filing for Q3 2023, filed 6 Nov 2023.