Sigma Planning Corp Portfolio holdings
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.
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 | |
|---|---|---|---|---|---|---|---|
1001
MSCI
MSCI
$46.6B
| $344K | 0.01% |
639
-34
| -5% | -$19.4K |
2017 Q2
37 quarters
|
|
1002
U.S. Small Cap Portfolio ETF Class Shares
DFAS
$15.2B
| $343K | 0.01% |
4,435
+507
| +13% | +$41.2K |
2024 Q1
10 quarters
|
|
1003
Amplify Cybersecurity ETF
HACK
$3.22B
| $343K | 0.01% |
2,831
+215
| +8% | +$24.3K |
2020 Q2
25 quarters
|
|
1004
Dutch Bros
BROS
$5.02B
| $342K | 0.01% |
8,103
-3,226
| -28% | -$174K |
2024 Q4
7 quarters
|
|
1005
Innovator Deepwater Frontier Tech ETF
LOUP
$167M
| $342K | 0.01% |
3,850
+23
| +0.6% | +$2.07K |
2025 Q4
3 quarters
|
|
1006
Gotham Enhanced 500 ETF
GSPY
$686M
| $342K | 0.01% |
+8,084
| New | +$338K |
2026 Q3
0 quarters
|
|
1007
Invesco Dorsey Wright Consumer Staples Momentum ETF
PSL
$80.7M
| $339K | 0.01% |
3,182
| – | – |
2024 Q1
10 quarters
|
|
1008
Fidelity MSCI Consumer Discretionary Index ETF
FDIS
$1.71B
| $338K | 0.01% |
3,568
-2,706
| -43% | -$272K |
2015 Q1
46 quarters
|
|
1009
Vanguard Russell 2000 ETF
VTWO
$16.7B
| $338K | 0.01% |
3,009
-601
| -17% | -$71.4K |
2024 Q1
10 quarters
|
|
1010
Cintas
CTAS
$88.4B
| $337K | 0.01% |
1,726
+26
| +2% | +$5.17K |
2023 Q1
14 quarters
|
|
1011
GE HealthCare
GEHC
$37.4B
| $337K | 0.01% |
5,152
+178
| +4% | +$12K |
2024 Q1
10 quarters
|
|
1012
Fidelity AAA CLO ETF
FAAA
$85.6M
| $337K | 0.01% |
+6,701
| New | +$337K |
2026 Q3
0 quarters
|
|
1013
La-Z-Boy
LZB
$1.3B
| $336K | 0.01% |
11,348
+22
| +0.2% | +$793 |
2024 Q1
10 quarters
|
|
1014
Rocket Lab Corp
RKLB
$34.6B
| $336K | 0.01% |
4,825
+623
| +15% | +$44.9K |
2025 Q3
4 quarters
|
|
1015
iShares US Energy ETF
IYE
$1.72B
| $336K | 0.01% |
5,628
-131
| -2% | -$8.41K |
2024 Q1
10 quarters
|
|
1016
Global X S&P 500 Covered Call ETF
XYLD
$3.32B
| $335K | 0.01% |
8,069
-17
| -0.2% | -$703 |
2022 Q2
17 quarters
|
|
1017
TTM Technologies
TTMI
$7.26B
| $334K | 0.01% |
2,717
-4,152
| -60% | -$533K |
2025 Q4
3 quarters
|
|
1018
Centrus Energy
LEU
$2.21B
| $333K | 0.01% |
2,388
-82
| -3% | -$13.8K |
2025 Q2
5 quarters
|
|
1019
Invesco S&P 500 Equal Weight Technology ETF
RSPT
$5.49B
| $332K | 0.01% |
5,184
-2,458
| -32% | -$156K |
2026 Q1
2 quarters
|
|
1020
FT Vest Nasdaq-100 Buffer ETF September
QSPT
$699M
| $331K | 0.01% |
+9,066
| New | +$320K |
2026 Q3
0 quarters
|
|
1021
ZIM Integrated Shipping Services
ZIM
$3.41B
| $331K | 0.01% |
11,279
-196
| -2% | -$5.28K |
2022 Q4
15 quarters
|
|
1022
Phillips Edison & Co
PECO
$5.26B
| $330K | 0.01% |
8,844
-928
| -9% | -$37.4K |
2024 Q1
10 quarters
|
|
1023
PIMCO Dynamic Income Fund
PDI
$7.14B
| $330K | 0.01% |
23,205
-1,889
| -8% | -$29.3K |
2018 Q4
31 quarters
|
|
1024
Innovator US Equity Power Buffer ETF February
PFEB
$871M
| $329K | 0.01% |
7,463
| – | – |
2022 Q3
16 quarters
|
|
1025
Aurora
AUR
$8.85B
| $328K | 0.01% |
59,177
-1,500
| -2% | -$9.43K |
2024 Q3
8 quarters
|
|
Similar funds
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.