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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
DD icon
851
DuPont de Nemours
DD
$18.6B
– –
-17,600
Closed -$2.81M
DJP icon
852
iPath Bloomberg Commodity Index Total Return ETN due 12 June 2036
DJP
$819M
– –
-9,311
Closed -$211K
EGO icon
853
Eldorado Gold
EGO
$8.31B
– –
-2,557
Closed -$34K
FDRR icon
854
Fidelity Dividend ETF for Rising Rates
FDRR
$732M
– –
-19,434
Closed -$549K
FXG icon
855
First Trust Consumer Staples AlphaDEX Fund
FXG
$231M
– –
-4,383
Closed -$202K
GEO icon
856
The GEO Group
GEO
$4.13B
– –
-9,338
Closed -$276K
GSBD icon
857
Goldman Sachs BDC
GSBD
$975M
– –
-9,431
Closed -$212K
IWC icon
858
iShares Micro-Cap ETF
IWC
$1.43B
– –
-3,378
Closed -$300K
LKQ icon
859
LKQ Corp
LKQ
$6.58B
– –
-7,502
Closed -$247K
MAS icon
860
Masco
MAS
$16B
– –
-6,952
Closed -$266K
MGA icon
861
Magna International
MGA
$17.9B
– –
-5,637
Closed -$261K
MKL icon
862
Markel Group
MKL
$25B
– –
-491
Closed -$479K
MRCC
863
DELISTED
Monroe Capital Corp
MRCC
– –
-13,751
Closed -$209K
NCZ
864
Virtus Convertible & Income Fund II
NCZ
$289M
– –
-2,673
Closed -$66K
PAAS icon
865
Pan American Silver
PAAS
$18.6B
– –
-10,737
Closed -$181K
PFLT icon
866
PennantPark Floating Rate Capital
PFLT
$681M
– –
-15,231
Closed -$215K
PHG icon
867
Philips
PHG
$25.4B
– –
-7,466
Closed -$203K
QAI icon
868
NYLI Hedge Multi-Strategy Tracker ETF
QAI
$1B
– –
-6,972
Closed -$205K
SABA
869
Saba Capital Income & Opportunities Fund II
SABA
$220M
– –
-12,670
Closed -$170K
SH icon
870
ProShares Short S&P500
SH
$887M
– –
-18,406
Closed -$2.47M
TTMI icon
871
TTM Technologies
TTMI
$13.6B
– –
-10,142
Closed -$176K
ULTA icon
872
Ulta Beauty
ULTA
$20.4B
– –
-1,145
Closed -$329K
UTF icon
873
Cohen & Steers Infrastructure Fund
UTF
$3.14B
– –
-10,830
Closed -$256K
UTG icon
874
Reaves Utility Income Fund
UTG
$3.69B
– –
-6,121
Closed -$210K
XRX icon
875
Xerox
XRX
$337M
– –
-11,048
Closed -$317K
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.