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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
+6.68%
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
$1.7B
AUM Growth
+$207M
Cap. Flow
+$124M
Cap. Flow %
7.28%
Top 10 Hldgs %
21.61%
Holding
1,032
New
130
Increased
445
Reduced
351
Closed
84

Top Buys

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$14M
2
SSO icon
ProShares Ultra S&P500
SSO
+$9.41M
3
PFF icon
iShares Preferred and Income Securities ETF
PFF
+$7.5M
4
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$7.44M
5
AMZN icon
Amazon
AMZN
+$6.37M

Top Sells

Rank Stock Value
1
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$7.04M
2
USO icon
United States Oil Fund
USO
+$4.36M
3
IJK icon
iShares S&P Mid-Cap 400 Growth ETF
IJK
+$4.28M
4
IEMG icon
iShares Core MSCI Emerging Markets ETF
IEMG
+$3.74M
5
CPRT icon
Copart
CPRT
+$3.33M

Sector Composition

Rank Sector Weight
1 Technology 8.09%
2 Financials 4.85%
3 Healthcare 4.83%
4 Consumer Discretionary 4.56%
5 Industrials 4.1%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
UTL icon
876
Unitil
UTL
$1,000M
$204K 0.01%
4,015
+4
+0.1% +$204
HI
877
DELISTED
Hillenbrand
HI
$203K 0.01%
+3,883
New +$197K
UBSI icon
878
United Bankshares
UBSI
$6.55B
$203K 0.01%
+5,586
New +$212K
ANDX
879
DELISTED
Andeavor Logistics LP
ANDX
$203K 0.01%
+4,184
New +$196K
QABA icon
880
First Trust NASDAQ ABA Community Bank Index Fund
QABA
$92.1M
$202K 0.01%
3,784
-523
-12% -$29.2K
HUM icon
881
Humana
HUM
$46.7B
$201K 0.01%
+594
New +$193K
ORLY icon
882
O'Reilly Automotive
ORLY
$72.4B
$201K 0.01%
+8,700
New +$185K
SCHO icon
883
Schwab Short-Term US Treasury ETF
SCHO
$12.7B
$201K 0.01%
8,090
+10
+0.1% +$248
GBAB
884
Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust
GBAB
$381M
$200K 0.01%
9,437
– –
LIVE icon
885
Live Ventures
LIVE
$29.8M
$199K 0.01%
22,158
+250
+1% +$2.79K
PAAS icon
886
Pan American Silver
PAAS
$18.6B
$196K 0.01%
13,269
-4,899
-27% -$78.2K
GYLD icon
887
Arrow Dow Jones Global Yield ETF
GYLD
$36.5M
$181K 0.01%
+10,436
New +$183K
TSI
888
TCW Strategic Income Fund
TSI
$212M
$179K 0.01%
31,971
– –
AVK
889
Advent Convertible and Income Fund
AVK
$544M
$178K 0.01%
11,665
-155
-1% -$2.35K
WPM icon
890
Wheaton Precious Metals
WPM
$50.6B
$177K 0.01%
+10,089
New +$193K
SSRM icon
891
SSR Mining
SSRM
$5.57B
$173K 0.01%
19,851
-4,095
-17% -$38.7K
JFR icon
892
Nuveen Floating Rate Income Fund
JFR
$1.23B
$172K 0.01%
16,535
-1,693
-9% -$17.5K
ESV
893
DELISTED
Ensco Rowan plc
ESV
$172K 0.01%
5,089
+1
+0% +$29
SIVR icon
894
abrdn Physical Silver Shares ETF
SIVR
$4.04B
$171K 0.01%
12,002
-2,900
-19% -$42.3K
JRO
895
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
$166K 0.01%
16,104
+1,432
+10% +$14.6K
FCX icon
896
Freeport-McMoran
FCX
$90B
$162K 0.01%
11,666
-8,041
-41% -$121K
EZPW icon
897
Ezcorp Inc
EZPW
$1.82B
$154K 0.01%
14,386
+816
+6% +$9.29K
SIRI icon
898
SiriusXM
SIRI
$10B
$151K 0.01%
2,388
+11
+0.5% +$766
JHD
899
DELISTED
Nuveen High Income December 2019 Target Term Fund
JHD
$151K 0.01%
15,334
-4,295
-22% -$42.3K
CHY
900
Calamos Convertible and High Income Fund
CHY
$1.03B
$149K 0.01%
+11,205
New +$147K
34 35
36
37 38

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Sigma Planning Corp's Q3 2018 Portfolio in Review

As of Q3 2018, Sigma Planning Corp held 1,032 positions worth $1.7B, up 14% from $1.49B the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Sigma Planning Corp deployed $124M of net new capital in Q3 2018, opening 130 new positions and adding to 445 existing holdings. Its largest new stake was ProShares Ultra S&P500: 616,832 shares worth $9.83M.

By sector, the portfolio is most concentrated in Technology at 8.1% of assets, up from 6.9% a quarter earlier, followed by Financials and Healthcare.

On the sell side, the largest reduction was State Street SPDR Dow Jones Industrial Average ETF Trust, an estimated $7.04M trimmed.

  • Sigma Planning Corp's largest Q3 2018 buy was ProShares Ultra S&P500: 616,832 shares worth $9.83M.
  • Sigma Planning Corp added most to Apple in Q3 2018, an estimated $14M increase.
  • Sigma Planning Corp's biggest Q3 2018 reduction was State Street SPDR Dow Jones Industrial Average ETF Trust, cutting an estimated $7.04M.
  • Sigma Planning Corp fully exited Copart in Q3 2018, selling an estimated $3.33M.
  • Sigma Planning Corp's ten largest holdings make up 22% of its $1.7B portfolio in Q3 2018.
  • Sigma Planning Corp opened 130 new positions and closed 84 in Q3 2018.
  • Sigma Planning Corp's portfolio value rose 14% quarter-over-quarter to $1.7B.

Based on Sigma Planning Corp's 13F filing for Q3 2018, filed 7 Nov 2018.