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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
+1.79%
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
$2.08B
AUM Growth
+$143M
Cap. Flow
+$123M
Cap. Flow %
5.9%
Top 10 Hldgs %
20.64%
Holding
1,098
New
109
Increased
483
Reduced
383
Closed
98

Top Buys

Rank Stock Value
1
VGT icon
Vanguard Information Technology ETF
VGT
+$11.9M
2
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$8.9M
3
ACWV icon
iShares MSCI Global Min Vol Factor ETF
ACWV
+$8.48M
4
XMLV icon
Invesco S&P MidCap Low Volatility ETF
XMLV
+$7.6M
5
IVE icon
iShares S&P 500 Value ETF
IVE
+$7.12M

Top Sells

Rank Stock Value
1
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$9.05M
2
MBB icon
iShares MBS ETF
MBB
+$7.28M
3
VT icon
Vanguard Total World Stock ETF
VT
+$4.1M
4
ACWI icon
iShares MSCI ACWI ETF
ACWI
+$4.02M
5
FVC icon
First Trust Dorsey Wright Dynamic Focus 5 ETF
FVC
+$3.36M

Sector Composition

Rank Sector Weight
1 Technology 7.08%
2 Financials 4.39%
3 Consumer Discretionary 4.39%
4 Industrials 4.11%
5 Healthcare 3.92%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DBRG icon
976
DigitalBridge
DBRG
$2.94B
$61K ﹤0.01%
2,538
+25
+1% +$517
ONIT
977
Onity Group
ONIT
$333M
$56K ﹤0.01%
1,979
-21
-1% -$587
LYG icon
978
Lloyds Banking Group
LYG
$87.4B
$54K ﹤0.01%
20,615
+1,915
+10% +$4.97K
TEUM
979
DELISTED
Pareteum Corporation
TEUM
$53K ﹤0.01%
41,200
-8,000
-16% -$21K
OVV icon
980
Ovintiv
OVV
$17.5B
$51K ﹤0.01%
+2,234
New +$51.2K
FAX
981
abrdn Asia-Pacific Income Fund
FAX
$590M
$50K ﹤0.01%
+2,004
New +$50.4K
SID icon
982
Companhia Siderúrgica Nacional
SID
$1.43B
$47K ﹤0.01%
+15,000
New +$57K
XXII
983
22nd Century Group
XXII
$1.47M
– –
0
– –
TXMD icon
984
TherapeuticsMD
TXMD
$23.8M
$42K ﹤0.01%
+232
New +$32.7K
REED
985
DELISTED
Reeds, Inc. Common Stock
REED
$42K ﹤0.01%
648
+36
+6% +$4.46K
TULP
986
Bloomia Holdings
TULP
$18.2M
$39K ﹤0.01%
5,757
+714
+14% +$5.07K
VANIW
987
DELISTED
Vivani Medical, Inc. Warrants expiring 03/14/2024
VANIW
$32K ﹤0.01%
20,167
– –
AXU
988
DELISTED
Alexco Resource Corp
AXU
$22K ﹤0.01%
+13,000
New +$23.9K
GRCE
989
Grace Therapeutics
GRCE
$37.9M
$19K ﹤0.01%
+215
New +$19.9K
CHK
990
DELISTED
Chesapeake Energy Corporation
CHK
$19K ﹤0.01%
66
-39
-37% -$12.7K
HCR
991
DELISTED
Hi-Crush Inc. Common Stock
HCR
$18K ﹤0.01%
+10,486
New +$20.1K
NE
992
CALL
DELISTED
Noble Corporation
NE
$16K ﹤0.01%
12,500
– –
NE
993
DELISTED
Noble Corporation
NE
$15K ﹤0.01%
11,670
-788
-6% -$1.35K
TGB
994
Trekor Metals
TGB
$2.56B
$14K ﹤0.01%
34,000
– –
DF
995
DELISTED
Dean Foods Company
DF
$14K ﹤0.01%
11,733
-959
-8% -$1.14K
CLIR icon
996
ClearSign Technologies
CLIR
$22M
$13K ﹤0.01%
1,027
-520
-34% -$6.46K
FGP
997
DELISTED
Ferrellgas Partners, L.P.
FGP
$12K ﹤0.01%
11,190
-2,395
-18% -$2.04K
VRML
998
DELISTED
Vermillion, Inc.
VRML
$11K ﹤0.01%
+20,200
New +$13.4K
AJG icon
999
Arthur J. Gallagher & Co
AJG
$63.7B
– –
-3,748
Closed -$328K
ALGN icon
1000
Align Technology
ALGN
$12B
– –
-1,377
Closed -$377K
38 39
40
41 42

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Sigma Planning Corp's Q3 2019 Portfolio in Review

As of Q3 2019, Sigma Planning Corp held 1,098 positions worth $2.08B, up 7.3% from $1.94B the previous quarter. Its ten largest holdings account for 21% of the portfolio.

Sigma Planning Corp deployed $123M of net new capital in Q3 2019, opening 109 new positions and adding to 483 existing holdings. Its largest new stake was Chipotle Mexican Grill: 389,450 shares worth $6.55M.

By sector, the portfolio is most concentrated in Technology at 7.1% of assets, down from 7.4% a quarter earlier, followed by Financials and Consumer Discretionary.

On the sell side, the largest reduction was iShares 20+ Year Treasury Bond ETF, an estimated $9.05M trimmed.

  • Sigma Planning Corp's largest Q3 2019 buy was Chipotle Mexican Grill: 389,450 shares worth $6.55M.
  • Sigma Planning Corp added most to Vanguard Information Technology ETF in Q3 2019, an estimated $11.9M increase.
  • Sigma Planning Corp's biggest Q3 2019 reduction was iShares 20+ Year Treasury Bond ETF, cutting an estimated $9.05M.
  • Sigma Planning Corp fully exited Vanguard Total World Stock ETF in Q3 2019, selling an estimated $4.1M.
  • Sigma Planning Corp's ten largest holdings make up 21% of its $2.08B portfolio in Q3 2019.
  • Sigma Planning Corp opened 109 new positions and closed 98 in Q3 2019.
  • Sigma Planning Corp's portfolio value rose 7.3% quarter-over-quarter to $2.08B.

Based on Sigma Planning Corp's 13F filing for Q3 2019, filed 1 Nov 2019.