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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
+7.5%
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
$2.37B
AUM Growth
+$287M
Cap. Flow
+$149M
Cap. Flow %
6.27%
Top 10 Hldgs %
22.16%
Holding
1,143
New
143
Increased
513
Reduced
371
Closed
92

Top Buys

Rank Stock Value
1
DGRO icon
iShares Core Dividend Growth ETF
DGRO
+$7.45M
2
PDP icon
Invesco Dorsey Wright Momentum ETF
PDP
+$6.06M
3
XLK icon
State Street Technology Select Sector SPDR ETF
XLK
+$6.01M
4
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$5.52M
5
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$4.67M

Top Sells

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$6.41M
2
NEE icon
NextEra Energy
NEE
+$5.94M
3
CMG icon
Chipotle Mexican Grill
CMG
+$5.85M
4
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$5.59M
5
IVW icon
iShares S&P 500 Growth ETF
IVW
+$4.89M

Sector Composition

Rank Sector Weight
1 Technology 7.36%
2 Financials 4.5%
3 Healthcare 4.01%
4 Industrials 3.83%
5 Consumer Discretionary 3.66%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VMO icon
976
Invesco Municipal Opportunity Trust
VMO
$647M
$189K 0.01%
15,307
-257
-2% -$3.19K
OGI
977
Organigram Holdings
OGI
$132M
$187K 0.01%
19,103
+2,749
+17% +$32.5K
AM icon
978
Antero Midstream
AM
$10.8B
$185K 0.01%
24,364
+3,181
+15% +$20.1K
NUAN
979
DELISTED
Nuance Communications, Inc.
NUAN
$182K 0.01%
+10,231
New +$170K
HEXO
980
DELISTED
HEXO Corp. Common Shares
HEXO
$179K 0.01%
2,013
+755
+60% +$99.4K
M icon
981
Macy's
M
$6.15B
$173K 0.01%
+10,203
New +$160K
HPE icon
982
Hewlett Packard
HPE
$63.2B
$172K 0.01%
+10,838
New +$173K
NAC icon
983
Nuveen California Quality Municipal Income Fund
NAC
$1.83B
$171K 0.01%
+11,475
New +$170K
RIG icon
984
Transocean
RIG
$5.92B
$167K 0.01%
24,254
-500
-2% -$2.58K
RPAI
985
DELISTED
RETAIL PROPERTIES OF AMERICA, INC.
RPAI
$164K 0.01%
+12,249
New +$165K
FCX icon
986
Freeport-McMoran
FCX
$90B
$163K 0.01%
12,415
-4,805
-28% -$52.8K
BRSL
987
Brightstar Lottery PLC
BRSL
$1.91B
$163K 0.01%
10,891
-1,196
-10% -$17K
VXX icon
988
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$162M
$163K 0.01%
+168
New +$203K
GGN
989
GAMCO Global Gold, Natural Resources & Income Trust
GGN
$767M
$160K 0.01%
36,324
+5,536
+18% +$23.6K
NFJ
990
Virtus Dividend, Interest & Premium Strategy Fund
NFJ
$1.41B
$159K 0.01%
12,250
– –
X
991
DELISTED
US Steel
X
$156K 0.01%
13,710
+2,669
+24% +$33.1K
SIRI icon
992
SiriusXM
SIRI
$10B
$155K 0.01%
2,166
+372
+21% +$25.1K
MYOV
993
DELISTED
Myovant Sciences Ltd.
MYOV
$155K 0.01%
+10,000
New +$101K
LIVE icon
994
Live Ventures
LIVE
$29.8M
$150K 0.01%
20,026
-1,014
-5% -$8.3K
AT
995
DELISTED
Atlantic Power Corporation
AT
$149K 0.01%
64,057
-2,167
-3% -$5.13K
MFA
996
MFA Financial
MFA
$929M
$145K 0.01%
4,736
-501
-10% -$15.3K
EFR
997
Eaton Vance Senior Floating-Rate Fund
EFR
$311M
$140K 0.01%
10,320
-1,359
-12% -$17.7K
MAT icon
998
Mattel
MAT
$4.17B
$139K 0.01%
+10,271
New +$122K
PFLT icon
999
PennantPark Floating Rate Capital
PFLT
$681M
$134K 0.01%
+11,006
New +$131K
JRO
1000
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
$126K 0.01%
12,602
-14,842
-54% -$142K
38 39
40
41 42

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Sigma Planning Corp's Q4 2019 Portfolio in Review

As of Q4 2019, Sigma Planning Corp held 1,143 positions worth $2.37B, up 14% from $2.08B the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Sigma Planning Corp deployed $149M of net new capital in Q4 2019, opening 143 new positions and adding to 513 existing holdings. Its largest new stake was iShares US Transportation ETF: 66,896 shares worth $3.27M.

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

On the sell side, the largest reduction was iShares Core S&P 500 ETF, an estimated $6.41M trimmed.

  • Sigma Planning Corp's largest Q4 2019 buy was iShares US Transportation ETF: 66,896 shares worth $3.27M.
  • Sigma Planning Corp added most to iShares Core Dividend Growth ETF in Q4 2019, an estimated $7.45M increase.
  • Sigma Planning Corp's biggest Q4 2019 reduction was iShares Core S&P 500 ETF, cutting an estimated $6.41M.
  • Sigma Planning Corp fully exited Avalara, Inc. in Q4 2019, selling an estimated $4.36M.
  • Sigma Planning Corp's ten largest holdings make up 22% of its $2.37B portfolio in Q4 2019.
  • Sigma Planning Corp opened 143 new positions and closed 92 in Q4 2019.
  • Sigma Planning Corp's portfolio value rose 14% quarter-over-quarter to $2.37B.

Based on Sigma Planning Corp's 13F filing for Q4 2019, filed 3 Feb 2020.