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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
+1.79%
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
$2.08B
AUM Growth
+$143M
Cap. Flow
+$123M
Cap. Flow %
5.9%
Top 10 Hldgs %
20.64%
Holding
1,098
New
109
Increased
483
Reduced
383
Closed
98

Top Buys

Rank Stock Value
1
VGT icon
Vanguard Information Technology ETF
VGT
+$11.9M
2
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$8.9M
3
ACWV icon
iShares MSCI Global Min Vol Factor ETF
ACWV
+$8.48M
4
XMLV icon
Invesco S&P MidCap Low Volatility ETF
XMLV
+$7.6M
5
IVE icon
iShares S&P 500 Value ETF
IVE
+$7.12M

Top Sells

Rank Stock Value
1
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$9.05M
2
MBB icon
iShares MBS ETF
MBB
+$7.28M
3
VT icon
Vanguard Total World Stock ETF
VT
+$4.1M
4
ACWI icon
iShares MSCI ACWI ETF
ACWI
+$4.02M
5
FVC icon
First Trust Dorsey Wright Dynamic Focus 5 ETF
FVC
+$3.36M

Sector Composition

Rank Sector Weight
1 Technology 7.08%
2 Financials 4.39%
3 Consumer Discretionary 4.39%
4 Industrials 4.11%
5 Healthcare 3.92%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
USHY icon
901
iShares Broad USD High Yield Corporate Bond ETF
USHY
$28.9B
$211K 0.01%
5,162
-114
-2% -$4.65K
AGN
902
DELISTED
Allergan plc
AGN
$211K 0.01%
1,252
-258
-17% -$42K
GBDC icon
903
Golub Capital BDC
GBDC
$3.33B
$210K 0.01%
11,361
-612
-5% -$11K
DIV icon
904
Global X SuperDividend US ETF
DIV
$787M
$209K 0.01%
+8,879
New +$203K
FTLS icon
905
First Trust Long/Short Equity ETF
FTLS
$2.46B
$209K 0.01%
+5,101
New +$208K
IQDF icon
906
FlexShares International Quality Dividend Index Fund
IQDF
$1.13B
$208K 0.01%
9,329
-100
-1% -$2.24K
EPR icon
907
EPR Properties
EPR
$4.86B
$206K 0.01%
+2,683
New +$204K
FCOM icon
908
Fidelity MSCI Communication Services Index ETF
FCOM
$1.74B
$206K 0.01%
6,244
+123
+2% +$4.14K
AGR
909
DELISTED
Avangrid, Inc.
AGR
$205K 0.01%
3,917
-1,393
-26% -$70K
BOX icon
910
Box
BOX
$4.02B
$203K 0.01%
+12,282
New +$197K
USCI icon
911
US Commodity Index
USCI
$372M
$203K 0.01%
5,675
-137
-2% -$4.91K
NEO icon
912
NeoGenomics
NEO
$1.81B
$201K 0.01%
+10,526
New +$247K
CHKP icon
913
Check Point Software Technologies
CHKP
$13.3B
$200K 0.01%
1,828
-144
-7% -$16.1K
PEY icon
914
Invesco High Yield Equity Dividend Achievers ETF
PEY
$1.13B
$200K 0.01%
10,920
-398
-4% -$7.19K
PJP icon
915
Invesco Pharmaceuticals ETF
PJP
$425M
$200K 0.01%
3,535
-1,013
-22% -$58.3K
FTGC icon
916
First Trust Global Tactical Commodity Strategy Fund
FTGC
$2.99B
$196K 0.01%
+10,799
New +$197K
GNW icon
917
Genworth Financial
GNW
$3.8B
$196K 0.01%
44,620
-1,600
-3% -$6.67K
VMO icon
918
Invesco Municipal Opportunity Trust
VMO
$647M
$195K 0.01%
15,564
+2,067
+15% +$26K
CSQ icon
919
Calamos Strategic Total Return Fund
CSQ
$3.21B
$193K 0.01%
15,207
-1,815
-11% -$23.2K
ETB
920
Eaton Vance Tax-Managed Buy-Write Income Fund
ETB
$449M
$189K 0.01%
12,063
+1,152
+11% +$18K
AVK
921
Advent Convertible and Income Fund
AVK
$544M
$186K 0.01%
13,112
+1,510
+13% +$21.6K
CHW
922
Calamos Global Dynamic Income Fund
CHW
$544M
$185K 0.01%
23,688
– –
LIVE icon
923
Live Ventures
LIVE
$29.8M
$180K 0.01%
21,040
-584
-3% -$4.06K
MNDT
924
DELISTED
Mandiant, Inc. Common Stock
MNDT
$178K 0.01%
13,340
+366
+3% +$5.2K
CHY
925
Calamos Convertible and High Income Fund
CHY
$1.03B
$177K 0.01%
16,074
+5,934
+59% +$66.6K
35 36
37
38 39

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Sigma Planning Corp's Q3 2019 Portfolio in Review

As of Q3 2019, Sigma Planning Corp held 1,098 positions worth $2.08B, up 7.3% from $1.94B the previous quarter. Its ten largest holdings account for 21% of the portfolio.

Sigma Planning Corp deployed $123M of net new capital in Q3 2019, opening 109 new positions and adding to 483 existing holdings. Its largest new stake was Chipotle Mexican Grill: 389,450 shares worth $6.55M.

By sector, the portfolio is most concentrated in Technology at 7.1% of assets, down from 7.4% a quarter earlier, followed by Financials and Consumer Discretionary.

On the sell side, the largest reduction was iShares 20+ Year Treasury Bond ETF, an estimated $9.05M trimmed.

  • Sigma Planning Corp's largest Q3 2019 buy was Chipotle Mexican Grill: 389,450 shares worth $6.55M.
  • Sigma Planning Corp added most to Vanguard Information Technology ETF in Q3 2019, an estimated $11.9M increase.
  • Sigma Planning Corp's biggest Q3 2019 reduction was iShares 20+ Year Treasury Bond ETF, cutting an estimated $9.05M.
  • Sigma Planning Corp fully exited Vanguard Total World Stock ETF in Q3 2019, selling an estimated $4.1M.
  • Sigma Planning Corp's ten largest holdings make up 21% of its $2.08B portfolio in Q3 2019.
  • Sigma Planning Corp opened 109 new positions and closed 98 in Q3 2019.
  • Sigma Planning Corp's portfolio value rose 7.3% quarter-over-quarter to $2.08B.

Based on Sigma Planning Corp's 13F filing for Q3 2019, filed 1 Nov 2019.