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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
-4.66%
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
$2.62B
AUM Growth
-$254M
Cap. Flow
-$114M
Cap. Flow %
-4.33%
Top 10 Hldgs %
20.41%
Holding
1,363
New
75
Increased
591
Reduced
553
Closed
102

Top Buys

Rank Stock Value
1
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$18.1M
2
PEP icon
PepsiCo
PEP
+$8.37M
3
IVV icon
iShares Core S&P 500 ETF
IVV
+$7.73M
4
PSTP icon
Innovator Power Buffer Step-Up Strategy ETF
PSTP
+$4.94M
5
BALT icon
Innovator Defined Wealth Shield ETF
BALT
+$4.86M

Top Sells

Rank Stock Value
1
GLD icon
SPDR Gold Trust
GLD
+$8.96M
2
UUP icon
Invesco DB US Dollar Index Bullish Fund
UUP
+$6.66M
3
FTGC icon
First Trust Global Tactical Commodity Strategy Fund
FTGC
+$6.62M
4
CDC icon
VictoryShares US EQ Income Enhanced Volatility Wtd ETF
CDC
+$6.14M
5
PSFF icon
Pacer Swan SOS Fund of Funds ETF
PSFF
+$4.28M

Sector Composition

Rank Sector Weight
1 Technology 9.92%
2 Healthcare 5.17%
3 Consumer Discretionary 4.8%
4 Financials 4.33%
5 Consumer Staples 3.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TRTN
1051
DELISTED
Triton International Limited
TRTN
$233K 0.01%
+4,255
New +$255K
AB icon
1052
AllianceBernstein
AB
$3.47B
$232K 0.01%
+6,617
New +$280K
AOK icon
1053
iShares Core Conservative Allocation ETF
AOK
$803M
$232K 0.01%
7,125
-10,241
-59% -$355K
DSEP icon
1054
FT Vest US Equity Deep Buffer ETF September
DSEP
$348M
$232K 0.01%
7,889
-229
-3% -$7K
FVC icon
1055
First Trust Dorsey Wright Dynamic Focus 5 ETF
FVC
$104M
$232K 0.01%
6,946
-4,645
-40% -$162K
ALGN icon
1056
Align Technology
ALGN
$12B
$231K 0.01%
1,113
-58
-5% -$14.9K
CORP icon
1057
PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund
CORP
$1.57B
$230K 0.01%
2,518
-97
-4% -$9.35K
JMIA
1058
Jumia Technologies
JMIA
$726M
$230K 0.01%
39,564
-2,282
-5% -$15.6K
XYL icon
1059
Xylem
XYL
$28.5B
$230K 0.01%
+2,630
New +$239K
CUZ icon
1060
Cousins Properties
CUZ
$5.29B
$229K 0.01%
9,811
– –
DFAC icon
1061
Dimensional US Core Equity 2 ETF
DFAC
$47.5B
$228K 0.01%
10,231
+1,336
+15% +$32.8K
IYG icon
1062
iShares US Financial Services ETF
IYG
$2.13B
$228K 0.01%
4,836
-1,299
-21% -$68.2K
MP icon
1063
MP Materials
MP
$7.35B
$228K 0.01%
8,337
+464
+6% +$15.2K
VTRS icon
1064
Viatris
VTRS
$20.1B
$228K 0.01%
26,713
+176
+0.7% +$1.73K
CC icon
1065
Chemours
CC
$2.59B
$227K 0.01%
9,217
-8,030
-47% -$265K
PD icon
1066
PagerDuty
PD
$700M
$227K 0.01%
9,852
-5,380
-35% -$139K
UUP icon
1067
Invesco DB US Dollar Index Bullish Fund
UUP
$434M
$227K 0.01%
7,540
-229,845
-97% -$6.66M
ETJ
1068
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
$563M
$226K 0.01%
27,291
+386
+1% +$3.55K
RIVN icon
1069
Rivian
RIVN
$22.9B
$226K 0.01%
6,877
-4,606
-40% -$157K
AMJ
1070
DELISTED
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
$226K 0.01%
11,283
– –
DBL
1071
DoubleLine Opportunistic Credit Fund
DBL
$278M
$225K 0.01%
15,537
-910
-6% -$14.1K
GSG icon
1072
iShares S&P GSCI Commodity-Indexed Trust
GSG
$1.02B
$225K 0.01%
10,911
-131,039
-92% -$2.88M
TSI
1073
TCW Strategic Income Fund
TSI
$212M
$225K 0.01%
47,758
– –
NBB icon
1074
Nuveen Taxable Municipal Income Fund
NBB
$447M
$224K 0.01%
14,300
+2,000
+16% +$35.3K
OSCV icon
1075
Opus Small Cap Value ETF
OSCV
$706M
$222K 0.01%
7,817
-4,270
-35% -$131K
41 42
43
44 45

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SL
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WB
WesBanco Bank Wheeling, West Virginia $3.61B AUM 24.09% 1-Year Est. Return
SCM
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BPS
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VPC
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ACM
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WWA
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Sigma Planning Corp's Q3 2022 Portfolio in Review

As of Q3 2022, Sigma Planning Corp held 1,363 positions worth $2.62B, down 8.8% from $2.88B the previous quarter. Its ten largest holdings account for 20% of the portfolio.

Sigma Planning Corp withdrew a net $114M in Q3 2022, closing 102 positions and reducing 553 holdings. Its most notable exit was Pacer Swan SOS Fund of Funds ETF, an estimated $4.28M position sold in full.

By sector, the portfolio is most concentrated in Technology at 9.9% of assets, up from 9.7% a quarter earlier, followed by Healthcare and Consumer Discretionary.

Against the trend, Sigma Planning Corp opened a new position in iShares 1-3 Year Treasury Bond ETF worth $17.8M.

  • Sigma Planning Corp's largest Q3 2022 buy was iShares 1-3 Year Treasury Bond ETF: 219,466 shares worth $17.8M.
  • Sigma Planning Corp added most to iShares Core S&P 500 ETF in Q3 2022, an estimated $7.73M increase.
  • Sigma Planning Corp's biggest Q3 2022 reduction was SPDR Gold Trust, cutting an estimated $8.96M.
  • Sigma Planning Corp fully exited Pacer Swan SOS Fund of Funds ETF in Q3 2022, selling an estimated $4.28M.
  • Sigma Planning Corp's ten largest holdings make up 20% of its $2.62B portfolio in Q3 2022.
  • Sigma Planning Corp opened 75 new positions and closed 102 in Q3 2022.
  • Sigma Planning Corp's portfolio value fell 8.8% quarter-over-quarter to $2.62B.

Based on Sigma Planning Corp's 13F filing for Q3 2022, filed 10 Nov 2022.