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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
+12.59%
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
$1.76B
AUM Growth
+$386M
Cap. Flow
+$217M
Cap. Flow %
12.31%
Top 10 Hldgs %
19.78%
Holding
1,008
New
157
Increased
460
Reduced
296
Closed
68

Top Buys

Rank Stock Value
1
SPLV icon
Invesco S&P 500 Low Volatility ETF
SPLV
+$21.8M
2
AGG icon
iShares Core US Aggregate Bond ETF
AGG
+$9.97M
3
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$9.39M
4
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$9.32M
5
MBB icon
iShares MBS ETF
MBB
+$9.11M

Top Sells

Rank Stock Value
1
FLOT icon
iShares Floating Rate Bond ETF
FLOT
+$7.42M
2
ISTB icon
iShares Core 1-5 Year USD Bond ETF
ISTB
+$5.97M
3
SSO icon
ProShares Ultra S&P500
SSO
+$5.95M
4
PFF icon
iShares Preferred and Income Securities ETF
PFF
+$5.88M
5
ACWI icon
iShares MSCI ACWI ETF
ACWI
+$5.68M

Sector Composition

Rank Sector Weight
1 Technology 7.02%
2 Healthcare 4.47%
3 Financials 4.46%
4 Industrials 4.26%
5 Consumer Discretionary 4.04%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DBEM icon
951
Xtrackers MSCI Emerging Markets Hedged Equity ETF
DBEM
$105M
– –
-10,730
Closed -$224K
DVA icon
952
DaVita
DVA
$15.1B
– –
-5,737
Closed -$295K
ECF
953
Ellsworth Growth & Income Fund
ECF
$171M
– –
-20,490
Closed -$176K
EFR
954
Eaton Vance Senior Floating-Rate Fund
EFR
$311M
– –
-14,888
Closed -$187K
FAX
955
abrdn Asia-Pacific Income Fund
FAX
$590M
– –
-1,678
Closed -$39K
FCOM icon
956
Fidelity MSCI Communication Services Index ETF
FCOM
$1.74B
– –
-25,570
Closed -$729K
FYC icon
957
First Trust Small Cap Growth AlphaDEX Fund
FYC
$1.24B
– –
-16,992
Closed -$682K
GBAB
958
Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust
GBAB
$382M
– –
-9,787
Closed -$215K
GE icon
959
CALL
GE Aerospace
GE
$367B
– –
-2,087
Closed -$76K
GSIE icon
960
Goldman Sachs ActiveBeta International Equity ETF
GSIE
$5.86B
– –
-10,099
Closed -$256K
HAS icon
961
Hasbro
HAS
$12.6B
– –
-2,662
Closed -$216K
HCA icon
962
HCA Healthcare
HCA
$84.8B
– –
-1,821
Closed -$227K
HELE icon
963
Helen of Troy
HELE
$663M
– –
-1,955
Closed -$256K
HL icon
964
Hecla Mining
HL
$10.2B
– –
-20,022
Closed -$47K
HYLS icon
965
First Trust Exchange-Traded Fund IV First Trust Tactical High Yield ETF
HYLS
$1.61B
– –
-6,275
Closed -$281K
IAG icon
966
IAMGOLD
IAG
$8.47B
– –
-12,855
Closed -$47K
ICE icon
967
CALL
Intercontinental Exchange
ICE
$82.4B
– –
-3,000
Closed -$226K
IIM icon
968
Invesco Value Municipal Income Trust
IIM
$583M
– –
-21,049
Closed -$285K
IPKW icon
969
Invesco International BuyBack Achievers ETF
IPKW
$537M
– –
-7,301
Closed -$210K
IWC icon
970
iShares Micro-Cap ETF
IWC
$1.43B
– –
-18,221
Closed -$1.5M
IWM icon
971
CALL
iShares Russell 2000 ETF
IWM
$80.9B
– –
-5,200
Closed -$696K
IYG icon
972
iShares US Financial Services ETF
IYG
$2.13B
– –
-6,204
Closed -$232K
IYM icon
973
iShares US Basic Materials ETF
IYM
$1.16B
– –
-2,633
Closed -$221K
JQC icon
974
Nuveen Credit Strategies Income Fund
JQC
$702M
– –
-60,686
Closed -$449K
LSCC icon
975
Lattice Semiconductor
LSCC
$17.6B
– –
-12,143
Closed -$84K
37 38
39
40 41

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Sigma Planning Corp's Q1 2019 Portfolio in Review

As of Q1 2019, Sigma Planning Corp held 1,008 positions worth $1.76B, up 28% from $1.37B the previous quarter. Its ten largest holdings account for 20% of the portfolio.

Sigma Planning Corp deployed $217M of net new capital in Q1 2019, opening 157 new positions and adding to 460 existing holdings. Its largest new stake was Invesco AI and Next Gen Software ETF: 179,652 shares worth $5.47M.

By sector, the portfolio is most concentrated in Technology at 7% of assets, up from 6.6% a quarter earlier, followed by Healthcare and Financials.

On the sell side, the largest reduction was iShares Floating Rate Bond ETF, an estimated $7.42M trimmed.

  • Sigma Planning Corp's largest Q1 2019 buy was Invesco AI and Next Gen Software ETF: 179,652 shares worth $5.47M.
  • Sigma Planning Corp added most to Invesco S&P 500 Low Volatility ETF in Q1 2019, an estimated $21.8M increase.
  • Sigma Planning Corp's biggest Q1 2019 reduction was iShares Floating Rate Bond ETF, cutting an estimated $7.42M.
  • Sigma Planning Corp fully exited iShares Micro-Cap ETF in Q1 2019, selling an estimated $1.5M.
  • Sigma Planning Corp's ten largest holdings make up 20% of its $1.76B portfolio in Q1 2019.
  • Sigma Planning Corp opened 157 new positions and closed 68 in Q1 2019.
  • Sigma Planning Corp's portfolio value rose 28% quarter-over-quarter to $1.76B.

Based on Sigma Planning Corp's 13F filing for Q1 2019, filed 1 May 2019.