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Sigma Planning Corp Portfolio holdings
AUM
$3.88B
Turnover
15.86%
1-Year Est. Return
23.38%
Sigma Planning Corporation is an investment advisory firm that serves as a base for financial advisers who want to grow their own practices, offering investment management, financial planning and consulting. It shares ownership with two brokerage firms, Sigma Financial Corporation and Parkland Securities, and most of its advisers also work as brokers for one of them. A trust led by Jerome Rydell, who is chief executive of all three firms, holds the controlling stake. Its clients range from individuals and high net worth individuals to pension plans, charities and government bodies.
This Fund
S&P 500
This Quarter Est. Return
+2.21%
1 Year Est. Return
+23.38%
3 Year Est. Return
+97.51%
5 Year Est. Return
+104.89%
10 Year Est. Return
+349.11%
AUM
$3.88B
AUM Growth
-$88.7M
(-2.2%)
Cap. Flow
-$109M
Cap. Flow % of AUM
Cap. Flow %
-2.8%
Top 10 Holdings %
Top 10 Hldgs %
24.88%
Holding
1,482
New
78
Increased
518
Reduced
682
Closed
157
Avg Time Held
Equity + Options
4.6
years
Top 10 Avg Time Held
Equity + Options
6.7
years
Top 20 Avg Time Held
Equity + Options
4.7
years
Avg Time Held Equity only
4.6
years
Top 10 Avg Time Held Equity only
6.7
years
Top 20 Avg Time Held Equity only
5.1
years
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
BlackRock US Equity Factor Rotation ETF
DYNF
|
+$5.36M |
| 2 |
Vanguard High Dividend Yield ETF
VYM
|
+$3.47M |
| 3 |
Sarmaya Thematic ETF
LENS
|
+$2.97M |
| 4 |
Vanguard Morningstar Small-Cap ETF
VB
|
+$2.92M |
| 5 |
Palantir
PLTR
|
+$2.8M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
Invesco QQQ Trust
QQQ
|
+$6.05M |
| 2 |
JPMorgan Nasdaq Equity Premium Income ETF
JEPQ
|
+$5.64M |
| 3 |
BlackRock ETF Trust iShares Defense Industrials and Tech Active ETF
IDEF
|
+$5.59M |
| 4 |
iShares Core S&P Small-Cap ETF
IJR
|
+$3.76M |
| 5 |
Vanguard S&P 500 ETF
VOO
|
+$3.14M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Miscellaneous | 59.35% |
| 2 | Technology | 16.75% |
| 3 | Financials | 3.9% |
| 4 | Industrials | 3.46% |
| 5 | Healthcare | 3.44% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | Held Since | |
|---|---|---|---|---|---|---|---|
926
Dover
DOV
$27.8B
| $417K | 0.01% |
2,236
+4
| +0.2% | +$807 |
2024 Q1
10 quarters
|
|
927
Main Sector Rotation ETF
SECT
$2.81B
| $417K | 0.01% |
5,828
-3,783
| -39% | -$270K |
2023 Q2
13 quarters
|
|
928
Church & Dwight Co
CHD
$26B
| $417K | 0.01% |
4,425
-55
| -1% | -$5.4K |
2024 Q1
10 quarters
|
|
929
Invesco QQQ Income Advantage ETF
QQA
$868M
| $417K | 0.01% |
7,293
+2,125
| +41% | +$119K |
2025 Q4
3 quarters
|
|
930
Fidelity Enhanced Large Cap Growth ETF
FELG
$5.27B
| $416K | 0.01% |
9,223
-283
| -3% | -$12.4K |
2024 Q1
10 quarters
|
|
931
iShares Global Government Bond USD Hedged Active ETF
GGOV
$3.14B
| $416K | 0.01% |
8,300
+1,565
| +23% | +$78.5K |
2026 Q2
1 quarter
|
|
932
Innovator Emerging Markets Power Buffer ETF July
EJUL
$207M
| $414K | 0.01% |
+13,272
| New | +$410K |
2026 Q3
0 quarters
|
|
933
Fidelity Dividend ETF for Rising Rates
FDRR
$758M
| $412K | 0.01% |
6,036
-58
| -1% | -$3.98K |
2024 Q1
10 quarters
|
|
934
Comfort Systems
FIX
$38.3B
| $411K | 0.01% |
248
-819
| -77% | -$1.37M |
2025 Q2
5 quarters
|
|
935
Fidelity MSCI Financials Index ETF
FNCL
$2.35B
| $410K | 0.01% |
5,415
-3,854
| -42% | -$311K |
2014 Q4
47 quarters
|
|
936
Goldman Sachs Physical Gold ETF Shares
AAAU
$2.5B
| $409K | 0.01% |
9,976
+1,878
| +23% | +$78.9K |
2025 Q1
6 quarters
|
|
937
Oklo
OKLO
$4.59B
| $408K | 0.01% |
11,034
-957
| -8% | -$40.4K |
2025 Q3
4 quarters
|
|
938
Schwab US Large-Cap Value ETF
SCHV
$15.6B
| $408K | 0.01% |
12,730
-16,234
| -56% | -$558K |
2025 Q2
5 quarters
|
|
939
iShares ESG Screened S&P 500 ETF
XVV
$874M
| $405K | 0.01% |
6,954
-318
| -4% | -$18.5K |
2024 Q1
10 quarters
|
|
940
TE Connectivity
TEL
$61.8B
| $405K | 0.01% |
1,920
+173
| +10% | +$35.8K |
2026 Q1
2 quarters
|
|
941
State Street SPDR Portfolio S&P 400 Mid Cap ETF
SPMD
$18.8B
| $404K | 0.01% |
6,413
| – | – |
2023 Q1
14 quarters
|
|
942
First Trust Developed Markets ex-US AlphaDEX Fund
FDT
$1.35B
| $403K | 0.01% |
4,306
+245
| +6% | +$23K |
2026 Q2
1 quarter
|
|
943
Innovator US Equity Power Buffer ETF March
PMAR
$741M
| $402K | 0.01% |
8,202
| – | – |
2023 Q1
14 quarters
|
|
944
FT Vest US Equity Buffer ETF December
FDEC
$1.31B
| $401K | 0.01% |
7,152
| – | – |
2023 Q4
11 quarters
|
|
945
First Trust Senior Loan Fund ETF
FTSL
$2.5B
| $399K | 0.01% |
8,948
+78
| +0.9% | +$3.5K |
2015 Q1
46 quarters
|
|
946
Goldman Sachs ActiveBeta Emerging Markets Equity ETF
GEM
$1.64B
| $398K | 0.01% |
7,784
-1,272
| -14% | -$64.3K |
2026 Q1
2 quarters
|
|
947
KKR & Co
KKR
$88.2B
| $398K | 0.01% |
4,355
-82
| -2% | -$8.37K |
2024 Q1
10 quarters
|
|
948
Victory Portfolios II VictoryShares Core Intermediate Bond ETF
UITB
$2.67B
| $397K | 0.01% |
8,894
+1,376
| +18% | +$63.3K |
2024 Q1
10 quarters
|
|
949
JPMorgan BetaBuilders Canada ETF
BBCA
$12B
| $396K | 0.01% |
3,945
+812
| +26% | +$84.4K |
2026 Q1
2 quarters
|
|
950
State Street SPDR S&P International Small Cap ETF
GWX
$889M
| $393K | 0.01% |
8,628
-300
| -3% | -$13.5K |
2025 Q3
4 quarters
|
|
Similar funds
IP
Sigma Planning Corp's Q3 2026 Portfolio in Review
As of Q3 2026, Sigma Planning Corp held 1,482 positions worth $3.88B, down 2.2% from $3.97B the previous quarter. Its ten largest holdings account for 25% of the portfolio.
Sigma Planning Corp's Q3 2026 filing shows 78 new, 518 increased, 682 reduced and 157 closed positions. Its largest new stake was First Trust Active Factor Large Cap Growth ETF: 68,323 shares worth $2.59M. The largest sale was Invesco QQQ Trust, an estimated $6.05M.
By sector, the portfolio is most concentrated in Miscellaneous at 59% of assets, down from 60% a quarter earlier, followed by Technology and Financials.
- Sigma Planning Corp's largest Q3 2026 buy was First Trust Active Factor Large Cap Growth ETF: 68,323 shares worth $2.59M.
- Sigma Planning Corp added most to BlackRock US Equity Factor Rotation ETF in Q3 2026, an estimated $5.36M increase.
- Sigma Planning Corp's biggest Q3 2026 reduction was Invesco QQQ Trust, cutting an estimated $6.05M.
- Sigma Planning Corp fully exited PIMCO 25+ Year Zero Coupon US Treasury Index Exchange-Traded Fund in Q3 2026, selling an estimated $2.33M.
- Sigma Planning Corp's ten largest holdings make up 25% of its $3.88B portfolio in Q3 2026.
- Sigma Planning Corp opened 78 new positions and closed 157 in Q3 2026.
- Sigma Planning Corp's portfolio value fell 2.2% quarter-over-quarter to $3.88B.
Based on Sigma Planning Corp's 13F filing for Q3 2026, filed 23 Oct 2026.