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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
-3.05%
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
$2.67B
AUM Growth
-$117M
Cap. Flow
+$7.73M
Cap. Flow %
0.29%
Top 10 Hldgs %
22.23%
Holding
1,324
New
121
Increased
493
Reduced
556
Closed
129

Top Buys

Rank Stock Value
1
XAUG icon
FT Vest US Equity Enhance & Moderate Buffer ETF August
XAUG
+$11M
2
ABBV icon
AbbVie
ABBV
+$5.08M
3
XLI icon
State Street Industrial Select Sector SPDR ETF
XLI
+$4.55M
4
MOAT icon
VanEck Morningstar Wide Moat ETF
MOAT
+$3.89M
5
ABT icon
Abbott
ABT
+$3.79M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$5.16M
2
EFA icon
iShares MSCI EAFE ETF
EFA
+$3.76M
3
AZO icon
AutoZone
AZO
+$3.74M
4
TSLA icon
Tesla
TSLA
+$3.66M
5
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$3.53M

Sector Composition

Rank Sector Weight
1 Technology 11.22%
2 Healthcare 4.66%
3 Consumer Discretionary 4.34%
4 Financials 4.17%
5 Industrials 3.45%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ZIM icon
1076
ZIM Integrated Shipping Services
ZIM
$3B
$207K 0.01%
19,796
+2,927
+17% +$37.2K
WST icon
1077
West Pharmaceutical
WST
$23.1B
$207K 0.01%
+551
New +$213K
PINS icon
1078
Pinterest
PINS
$12.4B
$207K 0.01%
7,641
-2,446
-24% -$66.8K
FTI icon
1079
TechnipFMC
FTI
$30.6B
$206K 0.01%
10,121
-1,537
-13% -$29K
HR icon
1080
Healthcare Realty
HR
$7.42B
$205K 0.01%
13,453
-4,009
-23% -$71.1K
ETJ
1081
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
$563M
$205K 0.01%
26,703
+1,071
+4% +$8.64K
WBD icon
1082
Warner Bros
WBD
$64.6B
$205K 0.01%
18,845
-7,974
-30% -$99.5K
OLN icon
1083
Olin
OLN
$2.64B
$203K 0.01%
4,054
-1,705
-30% -$92K
GUNR icon
1084
FlexShares Global Upstream Natural Resources Index Fund
GUNR
$7.19B
$203K 0.01%
5,010
-16,221
-76% -$665K
SYBT icon
1085
Stock Yards Bancorp
SYBT
$2.41B
$203K 0.01%
5,155
-350
-6% -$15.8K
DFS
1086
DELISTED
Discover Financial Services
DFS
$202K 0.01%
2,333
-120
-5% -$11.9K
NTG
1087
DELISTED
Tortoise Midstream Energy Fund, Inc. Common Stock
NTG
$202K 0.01%
5,916
+18
+0.3% +$634
CVI icon
1088
CVR Energy
CVI
$3.36B
$201K 0.01%
+5,915
New +$202K
FXZ icon
1089
First Trust Materials AlphaDEX Fund
FXZ
$378M
$201K 0.01%
3,192
-27
-0.8% -$1.76K
TDOC icon
1090
Teladoc Health
TDOC
$1.58B
$201K 0.01%
10,823
-623
-5% -$14.5K
BUI icon
1091
BlackRock Utilities, Infrastructure & Power Opportunities Trust
BUI
$740M
$201K 0.01%
10,120
– –
IVOO icon
1092
Vanguard S&P Mid-Cap 400 ETF
IVOO
$3.73B
$201K 0.01%
+2,373
New +$211K
PFLT icon
1093
PennantPark Floating Rate Capital
PFLT
$681M
$198K 0.01%
18,616
+1,429
+8% +$15.4K
DIV icon
1094
Global X SuperDividend US ETF
DIV
$787M
$197K 0.01%
12,141
+740
+6% +$12.4K
GLU
1095
Gabelli Utility & Income Trust
GLU
$116M
$195K 0.01%
14,402
+685
+5% +$9.72K
SILJ icon
1096
Amplify Junior Silver Miners ETF
SILJ
$3.27B
$194K 0.01%
22,878
-1,125
-5% -$10.6K
CMLS
1097
DELISTED
Cumulus Media Inc. Class A Common Stock
CMLS
$194K 0.01%
38,105
+2,900
+8% +$13.8K
MPT
1098
Medical Properties Trust
MPT
$2.89B
$193K 0.01%
35,442
-59,787
-63% -$479K
TSI
1099
TCW Strategic Income Fund
TSI
$212M
$192K 0.01%
41,951
+293
+0.7% +$1.36K
INTS icon
1100
Intensity Therapeutics
INTS
$12M
$191K 0.01%
+1,926
New +$266K
42 43
44
45 46

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Sigma Planning Corp's Q3 2023 Portfolio in Review

As of Q3 2023, Sigma Planning Corp held 1,324 positions worth $2.67B, down 4.2% from $2.78B the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Sigma Planning Corp's Q3 2023 filing shows 121 new, 493 increased, 556 reduced and 129 closed positions. Its largest new stake was FT Vest US Equity Enhance & Moderate Buffer ETF August: 366,335 shares worth $10.9M. The largest sale was Apple, an estimated $5.16M.

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

  • Sigma Planning Corp's largest Q3 2023 buy was FT Vest US Equity Enhance & Moderate Buffer ETF August: 366,335 shares worth $10.9M.
  • Sigma Planning Corp added most to AbbVie in Q3 2023, an estimated $5.08M increase.
  • Sigma Planning Corp's biggest Q3 2023 reduction was Apple, cutting an estimated $5.16M.
  • Sigma Planning Corp fully exited FT Vest Gold Strategy Target Income ETF in Q3 2023, selling an estimated $2.89M.
  • Sigma Planning Corp's ten largest holdings make up 22% of its $2.67B portfolio in Q3 2023.
  • Sigma Planning Corp opened 121 new positions and closed 129 in Q3 2023.
  • Sigma Planning Corp's portfolio value fell 4.2% quarter-over-quarter to $2.67B.

Based on Sigma Planning Corp's 13F filing for Q3 2023, filed 6 Nov 2023.