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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
-4.66%
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
$2.62B
AUM Growth
-$254M
Cap. Flow
-$114M
Cap. Flow %
-4.33%
Top 10 Hldgs %
20.41%
Holding
1,363
New
75
Increased
591
Reduced
553
Closed
102

Top Buys

Rank Stock Value
1
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$18.1M
2
PEP icon
PepsiCo
PEP
+$8.37M
3
IVV icon
iShares Core S&P 500 ETF
IVV
+$7.73M
4
PSTP icon
Innovator Power Buffer Step-Up Strategy ETF
PSTP
+$4.94M
5
BALT icon
Innovator Defined Wealth Shield ETF
BALT
+$4.86M

Top Sells

Rank Stock Value
1
GLD icon
SPDR Gold Trust
GLD
+$8.96M
2
UUP icon
Invesco DB US Dollar Index Bullish Fund
UUP
+$6.66M
3
FTGC icon
First Trust Global Tactical Commodity Strategy Fund
FTGC
+$6.62M
4
CDC icon
VictoryShares US EQ Income Enhanced Volatility Wtd ETF
CDC
+$6.14M
5
PSFF icon
Pacer Swan SOS Fund of Funds ETF
PSFF
+$4.28M

Sector Composition

Rank Sector Weight
1 Technology 9.92%
2 Healthcare 5.17%
3 Consumer Discretionary 4.8%
4 Financials 4.33%
5 Consumer Staples 3.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FDD icon
976
First Trust STOXX European Select Dividend Income Fund
FDD
$858M
$277K 0.01%
29,555
-8,712
-23% -$92.8K
ISCB icon
977
iShares Morningstar Small-Cap ETF
ISCB
$281M
$277K 0.01%
6,477
-21
-0.3% -$997
RGR icon
978
Sturm, Ruger & Co
RGR
$610M
$277K 0.01%
5,449
+540
+11% +$31.2K
DIV icon
979
Global X SuperDividend US ETF
DIV
$787M
$274K 0.01%
+15,547
New +$308K
IEUR icon
980
iShares Core MSCI Europe ETF
IEUR
$8.66B
$274K 0.01%
6,938
-2,797
-29% -$124K
IGIB icon
981
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.3B
$274K 0.01%
5,671
-642
-10% -$32.8K
KLAC icon
982
KLA
KLAC
$275B
$272K 0.01%
8,990
+20
+0.2% +$693
CXT icon
983
Crane NXT
CXT
$3.04B
$271K 0.01%
8,899
-14
-0.2% -$462
NUSC icon
984
Nuveen ESG Small-Cap ETF
NUSC
$1.28B
$268K 0.01%
8,344
+40
+0.5% +$1.41K
NVO
985
Novo Nordisk
NVO
$216B
$268K 0.01%
5,376
-376
-7% -$20.1K
DINO icon
986
HF Sinclair
DINO
$15.9B
$267K 0.01%
+4,950
New +$245K
JEF icon
987
Jefferies Financial Group
JEF
$12.9B
$267K 0.01%
9,476
-765
-7% -$23.2K
OC icon
988
Owens Corning
OC
$11.5B
$266K 0.01%
3,388
+20
+0.6% +$1.68K
BJAN icon
989
Innovator US Equity Buffer ETF January
BJAN
$393M
$265K 0.01%
8,540
– –
SYNA icon
990
Synaptics
SYNA
$4.41B
$265K 0.01%
2,679
+100
+4% +$12.4K
RIOT icon
991
Riot Platforms
RIOT
$8.52B
$264K 0.01%
37,684
+22,878
+155% +$161K
HL icon
992
Hecla Mining
HL
$10.2B
$263K 0.01%
66,764
+48,333
+262% +$197K
JFR icon
993
Nuveen Floating Rate Income Fund
JFR
$1.23B
$263K 0.01%
32,397
-797
-2% -$6.86K
BEN icon
994
Franklin Resources
BEN
$16.9B
$262K 0.01%
12,188
+2,605
+27% +$67K
FQAL icon
995
Fidelity Quality Factor ETF
FQAL
$1.41B
$261K 0.01%
6,282
+158
+3% +$7.32K
XSMO icon
996
Invesco S&P SmallCap Momentum ETF
XSMO
$3.02B
$261K 0.01%
6,014
-3,065
-34% -$145K
EVG
997
Eaton Vance Short Duration Diversified Income Fund
EVG
$142M
$259K 0.01%
26,408
+3,842
+17% +$42K
GXO icon
998
GXO Logistics
GXO
$6.06B
$259K 0.01%
7,379
+427
+6% +$18.9K
XLSR icon
999
State Street US Sector Rotation ETF
XLSR
$996M
$259K 0.01%
7,204
-7,519
-51% -$300K
GGN
1000
GAMCO Global Gold, Natural Resources & Income Trust
GGN
$767M
$258K 0.01%
78,316
-2,726
-3% -$9.31K
38 39
40
41 42

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WB
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BPS
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WWA
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Sigma Planning Corp's Q3 2022 Portfolio in Review

As of Q3 2022, Sigma Planning Corp held 1,363 positions worth $2.62B, down 8.8% from $2.88B the previous quarter. Its ten largest holdings account for 20% of the portfolio.

Sigma Planning Corp withdrew a net $114M in Q3 2022, closing 102 positions and reducing 553 holdings. Its most notable exit was Pacer Swan SOS Fund of Funds ETF, an estimated $4.28M position sold in full.

By sector, the portfolio is most concentrated in Technology at 9.9% of assets, up from 9.7% a quarter earlier, followed by Healthcare and Consumer Discretionary.

Against the trend, Sigma Planning Corp opened a new position in iShares 1-3 Year Treasury Bond ETF worth $17.8M.

  • Sigma Planning Corp's largest Q3 2022 buy was iShares 1-3 Year Treasury Bond ETF: 219,466 shares worth $17.8M.
  • Sigma Planning Corp added most to iShares Core S&P 500 ETF in Q3 2022, an estimated $7.73M increase.
  • Sigma Planning Corp's biggest Q3 2022 reduction was SPDR Gold Trust, cutting an estimated $8.96M.
  • Sigma Planning Corp fully exited Pacer Swan SOS Fund of Funds ETF in Q3 2022, selling an estimated $4.28M.
  • Sigma Planning Corp's ten largest holdings make up 20% of its $2.62B portfolio in Q3 2022.
  • Sigma Planning Corp opened 75 new positions and closed 102 in Q3 2022.
  • Sigma Planning Corp's portfolio value fell 8.8% quarter-over-quarter to $2.62B.

Based on Sigma Planning Corp's 13F filing for Q3 2022, filed 10 Nov 2022.