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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
GE icon
1001
CALL
GE Aerospace
GE
$367B
$123K 0.01%
2,207
– –
NIM icon
1002
Nuveen Select Maturities Municipal Fund
NIM
$117M
$119K 0.01%
11,325
+1,000
+10% +$10.5K
SDC
1003
DELISTED
SmileDirectClub, Inc. Class A Common Stock
SDC
$117K ﹤0.01%
+13,425
New +$134K
IDN icon
1004
Intellicheck
IDN
$73.5M
$115K ﹤0.01%
+15,403
New +$95.5K
SIEN
1005
DELISTED
Sientra, Inc.
SIEN
$110K ﹤0.01%
+1,229
New +$92.6K
ZYXI
1006
DELISTED
Zynex
ZYXI
$109K ﹤0.01%
15,265
+1,258
+9% +$11.1K
HIX
1007
Western Asset High Income Fund II
HIX
$352M
$103K ﹤0.01%
15,239
+4,999
+49% +$33.4K
BB icon
1008
BlackBerry
BB
$5.01B
$101K ﹤0.01%
15,755
+997
+7% +$5.47K
EXG icon
1009
Eaton Vance Tax-Managed Global Diversified Equity Income Fund
EXG
$2.91B
$99K ﹤0.01%
11,318
-900
-7% -$7.66K
CRON
1010
Cronos Group
CRON
$1.05B
$98K ﹤0.01%
12,767
-3,595
-22% -$27.5K
RRC icon
1011
Range Resources
RRC
$9.11B
$98K ﹤0.01%
20,145
-6,769
-25% -$27.3K
IGR
1012
CBRE Global Real Estate Income Fund
IGR
$712M
$97K ﹤0.01%
12,048
-97
-0.8% -$769
SAND
1013
DELISTED
Sandstorm Gold
SAND
$94K ﹤0.01%
12,600
-1,000
-7% -$6.51K
EVH icon
1014
Evolent Health
EVH
$475M
$91K ﹤0.01%
+10,053
New +$81.7K
GAB icon
1015
Gabelli Equity Trust
GAB
$1.74B
$88K ﹤0.01%
14,784
– –
GOGL
1016
DELISTED
Golden Ocean Group
GOGL
$88K ﹤0.01%
15,128
+1,869
+14% +$10.7K
UNIT
1017
Uniti Group
UNIT
$2.63B
$86K ﹤0.01%
+10,446
New +$75.6K
NOK icon
1018
Nokia
NOK
$50.8B
$77K ﹤0.01%
20,683
-166,258
-89% -$654K
NCZ
1019
Virtus Convertible & Income Fund II
NCZ
$289M
$76K ﹤0.01%
3,696
– –
DBRG icon
1020
DigitalBridge
DBRG
$2.94B
$73K ﹤0.01%
3,822
+1,284
+51% +$26.5K
SER icon
1021
Serina Therapeutics
SER
$31M
$71K ﹤0.01%
1,102
-51
-4% -$2.75K
AQMS icon
1022
Aqua Metals
AQMS
$9.63M
$69K ﹤0.01%
458
+7
+2% +$1.82K
ATOM icon
1023
Atomera
ATOM
$201M
$69K ﹤0.01%
22,300
+500
+2% +$1.59K
SID icon
1024
Companhia Siderúrgica Nacional
SID
$1.43B
$69K ﹤0.01%
20,000
+5,000
+33% +$15.6K
ZNGA
1025
DELISTED
ZYNGA INC. CL A COMMON
ZNGA
$69K ﹤0.01%
+11,348
New +$70.2K
39 40
41
42 43

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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.