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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
+10.07%
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
$2.53B
AUM Growth
+$248M
Cap. Flow
+$67.8M
Cap. Flow %
2.68%
Top 10 Hldgs %
24.76%
Holding
1,197
New
143
Increased
443
Reduced
455
Closed
136

Top Buys

Rank Stock Value
1
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$16.1M
2
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$12.6M
3
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$12.3M
4
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$11.8M
5
GLD icon
SPDR Gold Trust
GLD
+$8.31M

Top Sells

Rank Stock Value
1
IJH icon
iShares Core S&P Mid-Cap ETF
IJH
+$14.2M
2
QQQ icon
Invesco QQQ Trust
QQQ
+$10.4M
3
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$6.27M
4
FBT icon
First Trust NYSE Arca Biotechnology Index Fund
FBT
+$5.32M
5
IVW icon
iShares S&P 500 Growth ETF
IVW
+$5M

Sector Composition

Rank Sector Weight
1 Technology 11.79%
2 Consumer Discretionary 6.34%
3 Healthcare 4.95%
4 Communication Services 4.06%
5 Financials 3.83%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BIMI
1051
DELISTED
BIMI International Medical Inc. Common Stock
BIMI
$18K ﹤0.01%
+213
New +$20.2K
RIG icon
1052
Transocean
RIG
$5.92B
$14K ﹤0.01%
17,405
-17,871
-51% -$29.2K
SER icon
1053
Serina Therapeutics
SER
$31M
$14K ﹤0.01%
474
+57
+14% +$2.03K
LYG icon
1054
Lloyds Banking Group
LYG
$87.4B
$13K ﹤0.01%
10,264
-7,462
-42% -$10.5K
PDS
1055
Precision Drilling
PDS
$1.09B
$13K ﹤0.01%
1,000
– –
RMTI icon
1056
Rockwell Medical
RMTI
$26.2M
$11K ﹤0.01%
92
-35
-28% -$6.06K
ZOM
1057
DELISTED
Zomedica Corp.
ZOM
$5K ﹤0.01%
+44,000
New +$6.06K
VANIW
1058
DELISTED
Vivani Medical, Inc. Warrants expiring 03/14/2024
VANIW
$1K ﹤0.01%
20,154
– –
AG icon
1059
First Majestic Silver
AG
$8.05B
– –
-106,750
Closed -$1.06M
ALK icon
1060
Alaska Air
ALK
$5.15B
– –
-8,103
Closed -$294K
AME icon
1061
Ametek
AME
$55.5B
– –
-7,565
Closed -$676K
AON icon
1062
Aon
AON
$77.3B
– –
-1,106
Closed -$213K
AWR icon
1063
American States Water
AWR
$3.39B
– –
-2,664
Closed -$210K
BABA icon
1064
CALL
Alibaba
BABA
$269B
– –
-1,100
Closed -$237K
BDEC icon
1065
Innovator US Equity Buffer ETF December
BDEC
$216M
– –
-62,919
Closed -$1.66M
BGR icon
1066
BlackRock Energy and Resources Trust
BGR
$420M
– –
-11,904
Closed -$86K
BL icon
1067
BlackLine
BL
$1.69B
– –
-5,939
Closed -$492K
BOX icon
1068
Box
BOX
$4.02B
– –
-14,081
Closed -$292K
BRSP
1069
BrightSpire Capital
BRSP
$681M
– –
-10,250
Closed -$72K
BVN icon
1070
Compañía de Minas Buenaventura
BVN
$7.85B
– –
-102,864
Closed -$940K
CC icon
1071
Chemours
CC
$2.59B
– –
-10,601
Closed -$163K
CDE icon
1072
Coeur Mining
CDE
$15.6B
– –
-205,688
Closed -$1.04M
CDNS icon
1073
Cadence Design Systems
CDNS
$90B
– –
-5,619
Closed -$539K
CGBD icon
1074
Carlyle Secured Lending
CGBD
$698M
– –
-13,893
Closed -$119K
CIEN icon
1075
Ciena
CIEN
$55.3B
– –
-5,531
Closed -$300K
41 42
43
44 45

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Sigma Planning Corp's Q3 2020 Portfolio in Review

As of Q3 2020, Sigma Planning Corp held 1,197 positions worth $2.53B, up 11% from $2.28B the previous quarter. Its ten largest holdings account for 25% of the portfolio.

Sigma Planning Corp's Q3 2020 filing shows 143 new, 443 increased, 455 reduced and 136 closed positions. Its largest new stake was Abiomed Inc: 20,372 shares worth $5.64M. The largest sale was iShares Core S&P Mid-Cap ETF, an estimated $14.2M.

By sector, the portfolio is most concentrated in Technology at 12% of assets, up from 11% a quarter earlier, followed by Consumer Discretionary and Healthcare.

  • Sigma Planning Corp's largest Q3 2020 buy was Abiomed Inc: 20,372 shares worth $5.64M.
  • Sigma Planning Corp added most to iShares MSCI USA Momentum Factor ETF in Q3 2020, an estimated $16.1M increase.
  • Sigma Planning Corp's biggest Q3 2020 reduction was iShares Core S&P Mid-Cap ETF, cutting an estimated $14.2M.
  • Sigma Planning Corp fully exited CyrusOne Inc Common Stock in Q3 2020, selling an estimated $3.05M.
  • Sigma Planning Corp's ten largest holdings make up 25% of its $2.53B portfolio in Q3 2020.
  • Sigma Planning Corp opened 143 new positions and closed 136 in Q3 2020.
  • Sigma Planning Corp's portfolio value rose 11% quarter-over-quarter to $2.53B.

Based on Sigma Planning Corp's 13F filing for Q3 2020, filed 3 Nov 2020.