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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
+1.79%
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
$2.08B
AUM Growth
+$143M
Cap. Flow
+$123M
Cap. Flow %
5.9%
Top 10 Hldgs %
20.64%
Holding
1,098
New
109
Increased
483
Reduced
383
Closed
98

Top Buys

Rank Stock Value
1
VGT icon
Vanguard Information Technology ETF
VGT
+$11.9M
2
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$8.9M
3
ACWV icon
iShares MSCI Global Min Vol Factor ETF
ACWV
+$8.48M
4
XMLV icon
Invesco S&P MidCap Low Volatility ETF
XMLV
+$7.6M
5
IVE icon
iShares S&P 500 Value ETF
IVE
+$7.12M

Top Sells

Rank Stock Value
1
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$9.05M
2
MBB icon
iShares MBS ETF
MBB
+$7.28M
3
VT icon
Vanguard Total World Stock ETF
VT
+$4.1M
4
ACWI icon
iShares MSCI ACWI ETF
ACWI
+$4.02M
5
FVC icon
First Trust Dorsey Wright Dynamic Focus 5 ETF
FVC
+$3.36M

Sector Composition

Rank Sector Weight
1 Technology 7.08%
2 Financials 4.39%
3 Consumer Discretionary 4.39%
4 Industrials 4.11%
5 Healthcare 3.92%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RCL icon
1051
Royal Caribbean
RCL
$78.7B
– –
-6,044
Closed -$733K
RJF icon
1052
Raymond James Financial
RJF
$32.5B
– –
-4,877
Closed -$275K
ROKU icon
1053
CALL
Roku
ROKU
$21.1B
– –
-3,000
Closed -$272K
RSPT icon
1054
Invesco S&P 500 Equal Weight Technology ETF
RSPT
$5.38B
– –
-12,430
Closed -$221K
SKT icon
1055
Tanger
SKT
$4.82B
– –
-38,621
Closed -$626K
SNDX icon
1056
Syndax Pharmaceuticals
SNDX
$1.84B
– –
-12,280
Closed -$114K
SSNC icon
1057
SS&C Technologies
SSNC
$17.8B
– –
-4,208
Closed -$242K
STE icon
1058
Steris
STE
$20.9B
– –
-2,404
Closed -$358K
STX icon
1059
Seagate
STX
$193B
– –
-4,646
Closed -$219K
TCRT icon
1060
Alaunos Therapeutics
TCRT
$4.74M
– –
-183
Closed -$160K
TLRY icon
1061
PUT
Tilray
TLRY
$479M
– –
-600
Closed -$279K
TSLA icon
1062
CALL
Tesla
TSLA
$1.24T
– –
-13,500
Closed -$201K
UNIT
1063
Uniti Group
UNIT
$2.63B
– –
-14,085
Closed -$134K
USO icon
1064
United States Oil Fund
USO
$2.45B
– –
-2,363
Closed -$228K
VBF icon
1065
Invesco Bond Fund
VBF
$168M
– –
-11,252
Closed -$210K
VEGI icon
1066
iShares MSCI Agriculture Producers ETF
VEGI
$159M
– –
-10,541
Closed -$299K
VHC icon
1067
CALL
VirnetX Holding Corp
VHC
$52.3M
– –
-990
Closed -$123K
VT icon
1068
Vanguard Total World Stock ETF
VT
$76.3B
– –
-54,538
Closed -$4.1M
VV icon
1069
Vanguard Large-Cap ETF
VV
$51.9B
– –
-1,488
Closed -$201K
WDAY icon
1070
Workday
WDAY
$33.4B
– –
-2,196
Closed -$451K
WMB icon
1071
Williams Companies
WMB
$90.5B
– –
-18,264
Closed -$512K
WMS icon
1072
Advanced Drainage Systems
WMS
$10.9B
– –
-8,755
Closed -$287K
XHR
1073
Xenia Hotels & Resorts
XHR
$1.98B
– –
-10,180
Closed -$212K
YPF icon
1074
YPF
YPF
$20.2B
– –
-14,510
Closed -$264K
Z icon
1075
Zillow
Z
$7.04B
– –
-5,950
Closed -$276K
40 41 42
43
44

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Sigma Planning Corp's Q3 2019 Portfolio in Review

As of Q3 2019, Sigma Planning Corp held 1,098 positions worth $2.08B, up 7.3% from $1.94B the previous quarter. Its ten largest holdings account for 21% of the portfolio.

Sigma Planning Corp deployed $123M of net new capital in Q3 2019, opening 109 new positions and adding to 483 existing holdings. Its largest new stake was Chipotle Mexican Grill: 389,450 shares worth $6.55M.

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

On the sell side, the largest reduction was iShares 20+ Year Treasury Bond ETF, an estimated $9.05M trimmed.

  • Sigma Planning Corp's largest Q3 2019 buy was Chipotle Mexican Grill: 389,450 shares worth $6.55M.
  • Sigma Planning Corp added most to Vanguard Information Technology ETF in Q3 2019, an estimated $11.9M increase.
  • Sigma Planning Corp's biggest Q3 2019 reduction was iShares 20+ Year Treasury Bond ETF, cutting an estimated $9.05M.
  • Sigma Planning Corp fully exited Vanguard Total World Stock ETF in Q3 2019, selling an estimated $4.1M.
  • Sigma Planning Corp's ten largest holdings make up 21% of its $2.08B portfolio in Q3 2019.
  • Sigma Planning Corp opened 109 new positions and closed 98 in Q3 2019.
  • Sigma Planning Corp's portfolio value rose 7.3% quarter-over-quarter to $2.08B.

Based on Sigma Planning Corp's 13F filing for Q3 2019, filed 1 Nov 2019.