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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
-4.66%
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
$2.62B
AUM Growth
-$254M
Cap. Flow
-$114M
Cap. Flow %
-4.33%
Top 10 Hldgs %
20.41%
Holding
1,363
New
75
Increased
591
Reduced
553
Closed
102

Top Buys

Rank Stock Value
1
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$18.1M
2
PEP icon
PepsiCo
PEP
+$8.37M
3
IVV icon
iShares Core S&P 500 ETF
IVV
+$7.73M
4
PSTP icon
Innovator Power Buffer Step-Up Strategy ETF
PSTP
+$4.94M
5
BALT icon
Innovator Defined Wealth Shield ETF
BALT
+$4.86M

Top Sells

Rank Stock Value
1
GLD icon
SPDR Gold Trust
GLD
+$8.96M
2
UUP icon
Invesco DB US Dollar Index Bullish Fund
UUP
+$6.66M
3
FTGC icon
First Trust Global Tactical Commodity Strategy Fund
FTGC
+$6.62M
4
CDC icon
VictoryShares US EQ Income Enhanced Volatility Wtd ETF
CDC
+$6.14M
5
PSFF icon
Pacer Swan SOS Fund of Funds ETF
PSFF
+$4.28M

Sector Composition

Rank Sector Weight
1 Technology 9.92%
2 Healthcare 5.17%
3 Consumer Discretionary 4.8%
4 Financials 4.33%
5 Consumer Staples 3.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SPG icon
926
Simon Property Group
SPG
$74.5B
$315K 0.01%
3,514
-1,415
-29% -$145K
TWTR
927
DELISTED
Twitter, Inc.
TWTR
$314K 0.01%
7,172
-1,721
-19% -$70.1K
LUMN icon
928
Lumen
LUMN
$6.53B
$312K 0.01%
42,822
+12,753
+42% +$130K
TFFP
929
DELISTED
TFF Pharmaceuticals, Inc. Common Stock
TFFP
$312K 0.01%
3,076
+12
+0.4% +$1.62K
HZNP
930
DELISTED
Horizon Therapeutics Public Limited Company Ordinary Shares
HZNP
$312K 0.01%
5,048
-21
-0.4% -$1.47K
ESTC icon
931
Elastic
ESTC
$6.1B
$310K 0.01%
4,327
-1,633
-27% -$130K
RTL
932
DELISTED
The Necessity Retail REIT, Inc. Class A Common Stock
RTL
$309K 0.01%
52,537
+540
+1% +$3.99K
PARA
933
DELISTED
Paramount Global Class B
PARA
$307K 0.01%
16,134
-3,123
-16% -$75K
DAPR icon
934
FT Vest US Equity Deep Buffer ETF April
DAPR
$306M
$305K 0.01%
10,666
-1,805
-14% -$54K
DDOG icon
935
Datadog
DDOG
$87.9B
$305K 0.01%
3,441
-68
-2% -$6.85K
EPR icon
936
EPR Properties
EPR
$4.86B
$305K 0.01%
8,518
+1,820
+27% +$85.9K
YUM icon
937
Yum! Brands
YUM
$41B
$305K 0.01%
2,871
-407
-12% -$47.2K
BGS icon
938
B&G Foods
BGS
$285M
$303K 0.01%
18,404
-156
-0.8% -$3.46K
CHY
939
Calamos Convertible and High Income Fund
CHY
$1.03B
$303K 0.01%
29,997
+8,212
+38% +$100K
XAR icon
940
State Street SPDR S&P Aerospace & Defense ETF
XAR
$6.07B
$303K 0.01%
3,300
-47
-1% -$4.91K
BSEP icon
941
Innovator US Equity Buffer ETF September
BSEP
$215M
$302K 0.01%
10,560
-70,930
-87% -$2.17M
HEFA icon
942
iShares Currency Hedged MSCI EAFE ETF
HEFA
$7.47B
$302K 0.01%
10,113
-1,986
-16% -$63.3K
MJ icon
943
Amplify Alternative Harvest ETF
MJ
$101M
$302K 0.01%
5,479
+79
+1% +$5.48K
OVV icon
944
Ovintiv
OVV
$17.5B
$302K 0.01%
6,575
+123
+2% +$5.88K
SLY
945
DELISTED
SPDR S&P 600 Small Cap ETF (based on S&P SmallCap 600 Index--symbol SML)
SLY
$302K 0.01%
3,994
+39
+1% +$3.28K
ATO icon
946
Atmos Energy
ATO
$29.9B
$301K 0.01%
2,957
+168
+6% +$19.2K
BHK icon
947
BlackRock Core Bond Trust
BHK
$642M
$301K 0.01%
30,081
+470
+2% +$5.4K
BJUL icon
948
Innovator US Equity Buffer ETF July
BJUL
$289M
$300K 0.01%
10,297
+286
+3% +$8.94K
ISCV icon
949
iShares Morningstar Small-Cap Value ETF
ISCV
$687M
$299K 0.01%
6,289
-870
-12% -$46.3K
SNPS icon
950
Synopsys
SNPS
$71.5B
$299K 0.01%
979
-1,432
-59% -$485K
36 37
38
39 40

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Sigma Planning Corp's Q3 2022 Portfolio in Review

As of Q3 2022, Sigma Planning Corp held 1,363 positions worth $2.62B, down 8.8% from $2.88B the previous quarter. Its ten largest holdings account for 20% of the portfolio.

Sigma Planning Corp withdrew a net $114M in Q3 2022, closing 102 positions and reducing 553 holdings. Its most notable exit was Pacer Swan SOS Fund of Funds ETF, an estimated $4.28M position sold in full.

By sector, the portfolio is most concentrated in Technology at 9.9% of assets, up from 9.7% a quarter earlier, followed by Healthcare and Consumer Discretionary.

Against the trend, Sigma Planning Corp opened a new position in iShares 1-3 Year Treasury Bond ETF worth $17.8M.

  • Sigma Planning Corp's largest Q3 2022 buy was iShares 1-3 Year Treasury Bond ETF: 219,466 shares worth $17.8M.
  • Sigma Planning Corp added most to iShares Core S&P 500 ETF in Q3 2022, an estimated $7.73M increase.
  • Sigma Planning Corp's biggest Q3 2022 reduction was SPDR Gold Trust, cutting an estimated $8.96M.
  • Sigma Planning Corp fully exited Pacer Swan SOS Fund of Funds ETF in Q3 2022, selling an estimated $4.28M.
  • Sigma Planning Corp's ten largest holdings make up 20% of its $2.62B portfolio in Q3 2022.
  • Sigma Planning Corp opened 75 new positions and closed 102 in Q3 2022.
  • Sigma Planning Corp's portfolio value fell 8.8% quarter-over-quarter to $2.62B.

Based on Sigma Planning Corp's 13F filing for Q3 2022, filed 10 Nov 2022.