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 | |
|---|---|---|---|---|---|---|---|
1051
Fidelity Enhanced Mid Cap Core ETF
FMDE
$8.4B
| $306K | 0.01% |
7,578
+775
| +11% | +$32K |
2024 Q1
10 quarters
|
|
1052
Interactive Brokers
IBKR
$34.4B
| $304K | 0.01% |
3,563
-351
| -9% | -$32.1K |
2025 Q3
4 quarters
|
|
1053
Marsh
MRSH
$97.4B
| $304K | 0.01% |
1,779
-16
| -0.9% | -$2.93K |
2024 Q1
10 quarters
|
|
1054
First Trust Municipal High Income ETF
FMHI
$1.06B
| $303K | 0.01% |
6,750
-655
| -9% | -$31K |
2023 Q2
13 quarters
|
|
1055
iShares Large Cap Max Buffer Jun ETF
MAXJ
$162M
| $303K | 0.01% |
10,275
| – | – |
2026 Q1
2 quarters
|
|
1056
W.P. Carey
WPC
$15B
| $303K | 0.01% |
4,682
-158
| -3% | -$11.2K |
2015 Q4
43 quarters
|
|
1057
Devon Energy
DVN
$46.4B
| $301K | 0.01% |
6,544
-358
| -5% | -$16.4K |
2021 Q2
21 quarters
|
|
1058
Iron Mountain
IRM
$31.7B
| $300K | 0.01% |
2,723
+255
| +10% | +$30.5K |
2017 Q3
36 quarters
|
|
1059
Northern Trust Morningstar Global Upstream Natural Resources ETF
GUNR
$6.84B
| $300K | 0.01% |
6,304
-807
| -11% | -$43.3K |
2025 Q1
6 quarters
|
|
1060
Innovator Growth-100 Power Buffer ETF January
NJAN
$325M
| $300K | 0.01% |
4,939
-153
| -3% | -$9.09K |
2025 Q4
3 quarters
|
|
1061
TCW Artificial Intelligence ETF
AIFD
$107M
| $300K | 0.01% |
5,534
-6,854
| -55% | -$355K |
2024 Q2
9 quarters
|
|
1062
Fidelity Low Duration Bond Factor ETF
FLDR
$2.42B
| $299K | 0.01% |
6,020
+70
| +1% | +$3.5K |
2025 Q4
3 quarters
|
|
1063
Boston Scientific
BSX
$62B
| $299K | 0.01% |
6,751
-2,008
| -23% | -$93K |
2021 Q3
20 quarters
|
|
1064
Carvana
CVNA
$81.2B
| $299K | 0.01% |
4,775
-304
| -6% | -$20.8K |
2024 Q3
8 quarters
|
|
1065
AST SpaceMobile
ASTS
$9.7B
| $297K | 0.01% |
5,116
+320
| +7% | +$20.6K |
2025 Q2
5 quarters
|
|
1066
Occidental Petroleum
OXY
$56.4B
| $296K | 0.01% |
5,359
-587
| -10% | -$33.5K |
2014 Q4
47 quarters
|
|
1067
iShares iBonds 2028 Term High Yield and Income ETF
IBHH
$482M
| $296K | 0.01% |
+12,812
| New | +$299K |
2026 Q3
0 quarters
|
|
1068
Nextpower Inc. Common Stock
NXT
$15.8B
| $294K | 0.01% |
3,779
+175
| +5% | +$16.4K |
2026 Q1
2 quarters
|
|
1069
iShares North American Natural Resources ETF
IGE
$776M
| $294K | 0.01% |
4,775
+13
| +0.3% | +$808 |
2025 Q3
4 quarters
|
|
1070
Innovator US Small Cap Power Buffer ETF April
KAPR
$176M
| $294K | 0.01% |
7,455
-200
| -3% | -$7.99K |
2024 Q2
9 quarters
|
|
1071
Cambria Foreign Shareholder Yield ETF
FYLD
$730M
| $293K | 0.01% |
+7,412
| New | +$293K |
2026 Q3
0 quarters
|
|
1072
US Bancorp
USB
$92.6B
| $292K | 0.01% |
5,051
-180
| -3% | -$11.2K |
2024 Q1
10 quarters
|
|
1073
Sprott Uranium Miners ETF
URNM
$1.69B
| $291K | 0.01% |
6,141
+313
| +5% | +$16.5K |
2025 Q2
5 quarters
|
|
1074
iShares Asia 50 ETF
AIA
$4.29B
| $291K | 0.01% |
2,045
-216
| -10% | -$29.7K |
2026 Q1
2 quarters
|
|
1075
HCA Healthcare
HCA
$103B
| $290K | 0.01% |
680
+5
| +0.7% | +$2.05K |
2025 Q2
5 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.