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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 | |
|---|---|---|---|---|---|---|---|
951
uniQure
QURE
$1.49B
| $393K | 0.01% |
16,250
-150
| -0.9% | -$6.51K |
2026 Q1
2 quarters
|
|
952
Sociedad Química y Minera de Chile
SQM
$16.1B
| $392K | 0.01% |
6,047
-1,283
| -18% | -$92.7K |
2020 Q2
25 quarters
|
|
953
Innovator US Equity Buffer ETF February
BFEB
$198M
| $392K | 0.01% |
7,247
-15
| -0.2% | -$802 |
2024 Q1
10 quarters
|
|
954
iShares MSCI Europe Financials ETF
EUFN
$3.06B
| $392K | 0.01% |
9,843
+1,059
| +12% | +$43.8K |
2025 Q3
4 quarters
|
|
955
NNN REIT
NNN
$8B
| $388K | 0.01% |
9,442
+369
| +4% | +$16.9K |
2014 Q4
47 quarters
|
|
956
Hecla Mining
HL
$10.4B
| $388K | 0.01% |
22,770
-3,050
| -12% | -$53.6K |
2025 Q4
3 quarters
|
|
957
D-Wave Quantum Inc
QBTS
$4.15B
| $387K | 0.01% |
23,366
-4,428
| -16% | -$82K |
2025 Q3
4 quarters
|
|
958
First Trust Multi-Strategy Alternative ETF
LALT
$438M
| $384K | 0.01% |
+15,529
| New | +$379K |
2026 Q3
0 quarters
|
|
959
Invesco International Dividend Achievers ETF
PID
$882M
| $383K | 0.01% |
17,931
-1,134
| -6% | -$25.7K |
2022 Q4
15 quarters
|
|
960
Innovator Equity Dual Directional 15 Buffer ETF - October
DDFO
$101M
| $382K | 0.01% |
16,652
| – | – |
2025 Q4
3 quarters
|
|
961
Apple Hospitality REIT
APLE
$4.61B
| $380K | 0.01% |
23,507
+306
| +1% | +$4.96K |
2024 Q1
10 quarters
|
|
962
State Street SPDR S&P Pharmaceuticals ETF
XPH
$487M
| $379K | 0.01% |
5,889
-199
| -3% | -$13.8K |
2024 Q4
7 quarters
|
|
963
Royal Caribbean
RCL
$90.3B
| $379K | 0.01% |
1,426
+10
| +0.7% | +$2.84K |
2024 Q1
10 quarters
|
|
964
iShares Convertible Bond ETF
ICVT
$6.99B
| $379K | 0.01% |
3,356
-1,299
| -28% | -$150K |
2024 Q3
8 quarters
|
|
965
FedEx Freight
FDXF
$18.9B
| $379K | 0.01% |
3,463
+62
| +2% | +$8.48K |
2026 Q2
1 quarter
|
|
966
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
$4.99B
| $378K | 0.01% |
3,700
+30
| +0.8% | +$3.25K |
2020 Q2
25 quarters
|
|
967
Fidelity Enhanced Large Cap Core ETF
FELC
$8.66B
| $377K | 0.01% |
8,713
+3,429
| +65% | +$148K |
2026 Q2
1 quarter
|
|
968
Ecolab
ECL
$85.1B
| $376K | 0.01% |
1,368
-294
| -18% | -$81.6K |
2019 Q2
29 quarters
|
|
969
PIMCO 0-5 Year High Yield Corporate Bond Exchange-Traded Fund
HYS
$1.68B
| $375K | 0.01% |
4,144
-150
| -3% | -$13.9K |
2024 Q1
10 quarters
|
|
970
Invesco S&P Global Water Index ETF
CGW
$1.06B
| $373K | 0.01% |
5,980
-274
| -4% | -$17.7K |
2021 Q2
21 quarters
|
|
971
Invesco AI and Next Gen Software ETF
IGPT
$1.15B
| $369K | 0.01% |
3,626
| – | – |
2026 Q2
1 quarter
|
|
972
Cadence Design Systems
CDNS
$90.1B
| $368K | 0.01% |
1,115
-1,022
| -48% | -$336K |
2023 Q1
14 quarters
|
|
973
Innovator US Equity Power Buffer ETF January
PJAN
$1.4B
| $366K | 0.01% |
7,216
| – | – |
2021 Q4
19 quarters
|
|
974
Vanguard Morningstar Small-Cap Growth ETF
VBK
$22.3B
| $365K | 0.01% |
1,083
-164
| -13% | -$57.3K |
2024 Q1
10 quarters
|
|
975
Calamos Convertible Opportunities and Income Fund
CHI
$866M
| $364K | 0.01% |
31,888
+641
| +2% | +$8.14K |
2024 Q1
10 quarters
|
|
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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.