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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 | |
|---|---|---|---|---|---|---|---|
976
TeraWulf
WULF
$5.93B
| $364K | 0.01% |
24,611
-39
| -0.2% | -$683 |
2025 Q3
4 quarters
|
|
977
Capital Group Core Plus Income ETF
CGCP
$8.68B
| $364K | 0.01% |
17,188
-335
| -2% | -$7.35K |
2026 Q2
1 quarter
|
|
978
Vanguard International High Dividend Yield ETF
VYMI
$21.9B
| $360K | 0.01% |
3,564
+854
| +32% | +$88.2K |
2026 Q2
1 quarter
|
|
979
Bank OZK
OZK
$5.57B
| $360K | 0.01% |
7,833
+162
| +2% | +$8.08K |
2025 Q2
5 quarters
|
|
980
ARK Next Generation Technology ETF
ARKW
$1.6B
| $359K | 0.01% |
2,155
-4,164
| -66% | -$629K |
2025 Q2
5 quarters
|
|
981
Riot Platforms
RIOT
$6.43B
| $359K | 0.01% |
17,804
| – | – |
2021 Q4
19 quarters
|
|
982
iShares US Infrastructure ETF
IFRA
$3.97B
| $358K | 0.01% |
6,512
-1,122
| -15% | -$67.1K |
2021 Q1
22 quarters
|
|
983
Vanguard US Minimum Volatility ETF
VFMV
$499M
| $357K | 0.01% |
+2,526
| New | +$363K |
2026 Q3
0 quarters
|
|
984
Virtus Newfleet Multi-Sector Bond ETF
NFLT
$563M
| $357K | 0.01% |
16,183
+2,802
| +21% | +$63.6K |
2025 Q4
3 quarters
|
|
985
ARK Autonomous Technology & Robotics ETF
ARKQ
$1.7B
| $357K | 0.01% |
2,963
-1,223
| -29% | -$150K |
2024 Q1
10 quarters
|
|
986
Rithm Capital
RITM
$5.22B
| $355K | 0.01% |
39,799
-5,879
| -13% | -$56.9K |
2024 Q1
10 quarters
|
|
987
Northern Trust STOXX Global ESG Select ETF
ESGG
$115M
| $355K | 0.01% |
1,493
-56
| -4% | -$13.3K |
2025 Q2
5 quarters
|
|
988
Innovator US Small Cap Power Buffer ETF October
KOCT
$171M
| $355K | 0.01% |
9,408
+49
| +0.5% | +$1.85K |
2025 Q4
3 quarters
|
|
989
W.W. Grainger
GWW
$68.3B
| $354K | 0.01% |
284
-3
| -1% | -$3.96K |
2024 Q4
7 quarters
|
|
990
iShares Currency Hedged MSCI EAFE Small-Cap ETF
HSCZ
$256M
| $353K | 0.01% |
8,125
-1,546
| -16% | -$67.1K |
2025 Q3
4 quarters
|
|
991
Fidelity Fundamental Large Cap Core ETF
FFLC
$1.24B
| $353K | 0.01% |
5,974
-1,101
| -16% | -$65.5K |
2024 Q3
8 quarters
|
|
992
iShares ESG Aware 1-5 Year USD Corporate Bond ETF
SUSB
$1.31B
| $352K | 0.01% |
14,393
+642
| +5% | +$15.9K |
2024 Q1
10 quarters
|
|
993
Opendoor
OPEN
$1.26B
| $351K | 0.01% |
148,300
-11,500
| -7% | -$41.2K |
2025 Q3
4 quarters
|
|
994
SK Hynix Inc
SKHY
$929B
| $350K | 0.01% |
+1,903
| New | +$315K |
2026 Q3
0 quarters
|
|
995
Cognition Therapeutics
CGTX
$65.8M
| $350K | 0.01% |
364,765
+2,500
| +0.7% | +$2.51K |
2023 Q4
11 quarters
|
|
996
abrdn Physical Silver Shares ETF
SIVR
$3.56B
| $350K | 0.01% |
6,104
-6,487
| -52% | -$386K |
2025 Q1
6 quarters
|
|
997
Petrobras
PBR
$119B
| $348K | 0.01% |
25,689
-890
| -3% | -$16.9K |
2022 Q1
18 quarters
|
|
998
FT Vest U.S. Equity Enhance & Moderate Buffer ETF - May
XMAY
$19.1M
| $348K | 0.01% |
9,420
-3,167
| -25% | -$116K |
2025 Q2
5 quarters
|
|
999
Horizon Kinetics Inflation Beneficiaries ETF
INFL
$1.52B
| $346K | 0.01% |
6,905
-2,172
| -24% | -$114K |
2024 Q3
8 quarters
|
|
1000
Invesco PHLX Semiconductor ETF
SOXQ
$2.59B
| $346K | 0.01% |
3,479
-945
| -21% | -$89.3K |
2025 Q2
5 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.