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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
EXG icon
901
Eaton Vance Tax-Managed Global Diversified Equity Income Fund
EXG
$2.91B
$147K 0.01%
15,509
+379
+3% +$3.63K
VIVS
902
VivoSim Labs
VIVS
$1.46M
$144K 0.01%
523
– –
GSS
903
DELISTED
Golden Star Resources Ltd.
GSS
$141K 0.01%
38,850
-14,873
-28% -$52.9K
MAG
904
DELISTED
MAG Silver
MAG
$140K 0.01%
17,233
+3,082
+22% +$26.8K
HCR
905
DELISTED
Hi-Crush Inc. Common Stock
HCR
$132K 0.01%
+12,204
New +$153K
NBEV
906
DELISTED
NewAge, Inc. Common Stock (Delaware)
NBEV
$126K 0.01%
+23,500
New +$53.3K
GOGL
907
DELISTED
Golden Ocean Group
GOGL
$120K 0.01%
12,177
-36
-0.3% -$326
FSM icon
908
Fortuna Silver Mines
FSM
$2.59B
$119K 0.01%
27,225
-238
-0.9% -$1.17K
FLG
909
Flagstar Bank National Association
FLG
$5.77B
$119K 0.01%
3,833
-1,242
-24% -$40.7K
YELL
910
DELISTED
Yellow Corporation Common Stock
YELL
$118K 0.01%
13,100
– –
REED
911
DELISTED
Reeds, Inc. Common Stock
REED
$117K 0.01%
722
-22
-3% -$3.18K
GLAD icon
912
Gladstone Capital
GLAD
$425M
$115K 0.01%
+6,075
New +$116K
MRNS
913
DELISTED
Marinus Pharmaceuticals, Inc
MRNS
$113K 0.01%
+2,813
New +$80K
EEP
914
DELISTED
Enbridge Energy Partners
EEP
$111K 0.01%
+10,095
New +$113K
BBDC icon
915
Barings BDC
BBDC
$862M
$107K 0.01%
10,650
-2,901
-21% -$31.8K
MUX icon
916
McEwen Inc
MUX
$1.03B
$104K 0.01%
5,358
-91
-2% -$1.91K
AEG icon
917
Aegon
AEG
$13.5B
$102K 0.01%
18,598
+6,142
+49% +$31.9K
EHT
918
DELISTED
Eaton Vance 2021 Target Term Trust
EHT
$102K 0.01%
+10,494
New +$101K
PFX icon
919
PhenixFIN
PFX
$83.9M
$101K 0.01%
1,318
-57
-4% -$4.2K
BCS icon
920
Barclays
BCS
$94.1B
$100K 0.01%
11,729
-72
-0.6% -$668
IGR
921
CBRE Global Real Estate Income Fund
IGR
$712M
$100K 0.01%
13,763
+3
+0% +$22
LSCC icon
922
Lattice Semiconductor
LSCC
$17.6B
$97K 0.01%
12,149
-3,939
-24% -$29.1K
NE
923
DELISTED
Noble Corporation
NE
$96K 0.01%
13,655
– –
ASXC
924
DELISTED
Asensus Surgical, Inc.
ASXC
$93K 0.01%
1,238
-97
-7% -$6.56K
SRNE
925
DELISTED
Sorrento Therapeutics, Inc.
SRNE
$85K 0.01%
19,250
– –
35 36
37
38 39

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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.