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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
+2.4%
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
$3.18B
AUM Growth
-$79.9M
Cap. Flow
-$97.3M
Cap. Flow %
-3.05%
Top 10 Hldgs %
27.03%
Holding
1,277
New
66
Increased
498
Reduced
566
Closed
115

Top Buys

Rank Stock Value
1
MSTB icon
LHA Market State Tactical Beta ETF
MSTB
+$5.36M
2
DUKQ
Ocean Park Domestic ETF
DUKQ
+$5.35M
3
SDVY icon
First Trust SMID Cap Rising Dividend Achievers ETF
SDVY
+$3.6M
4
MGOV icon
First Trust Intermediate Government Opportunities ETF
MGOV
+$2.91M
5
PSFF icon
Pacer Swan SOS Fund of Funds ETF
PSFF
+$2.77M

Top Sells

Rank Stock Value
1
FDEC icon
FT Vest US Equity Buffer ETF December
FDEC
+$16.3M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$9.68M
3
JANW icon
AllianzIM U.S. Equity Buffer20 Jan ETF
JANW
+$7.37M
4
FIXD icon
First Trust Smith Opportunistic Fixed Income ETF
FIXD
+$4.97M
5
AMZN icon
Amazon
AMZN
+$4.83M

Sector Composition

Rank Sector Weight
1 Technology 14.13%
2 Consumer Discretionary 4.56%
3 Financials 4.27%
4 Healthcare 3.68%
5 Industrials 3.03%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GLU
1076
Gabelli Utility & Income Trust
GLU
$116M
$211K 0.01%
14,079
-445
-3% -$7.19K
BDX icon
1077
Becton Dickinson
BDX
$43.1B
$211K 0.01%
929
-2,169
-70% -$501K
COF icon
1078
Capital One
COF
$124B
$210K 0.01%
1,180
-990
-46% -$171K
CDE icon
1079
Coeur Mining
CDE
$15.6B
$210K 0.01%
36,645
-450
-1% -$2.92K
DHI icon
1080
D.R. Horton
DHI
$41B
$209K 0.01%
1,493
-398
-21% -$66.5K
SOXQ icon
1081
Invesco PHLX Semiconductor ETF
SOXQ
$2.38B
$208K 0.01%
+5,311
New +$213K
ZS icon
1082
Zscaler
ZS
$23B
$208K 0.01%
+1,154
New +$223K
VIOO icon
1083
Vanguard S&P Small-Cap 600 ETF
VIOO
$4.13B
$208K 0.01%
1,964
-372
-16% -$41.1K
USEP icon
1084
Innovator US Equity Ultra Buffer ETF September
USEP
$152M
$208K 0.01%
5,897
-4,049
-41% -$142K
KAPR icon
1085
Innovator US Small Cap Power Buffer ETF April
KAPR
$214M
$207K 0.01%
6,342
+70
+1% +$2.32K
EXPD icon
1086
Expeditors International
EXPD
$22.9B
$207K 0.01%
1,869
-1,392
-43% -$166K
PSN icon
1087
Parsons
PSN
$6.28B
$206K 0.01%
2,236
-3
-0.1% -$306
HAFN icon
1088
Hafnia
HAFN
$3.82B
$206K 0.01%
36,950
+8,700
+31% +$51.6K
HYFI icon
1089
AB High Yield ETF
HYFI
$329M
$206K 0.01%
+5,570
New +$207K
VAL icon
1090
Valaris
VAL
$5.51B
$205K 0.01%
4,623
-105
-2% -$5.05K
YUM icon
1091
Yum! Brands
YUM
$41B
$203K 0.01%
1,516
-228
-13% -$30.8K
APAM icon
1092
Artisan Partners
APAM
$2.79B
$202K 0.01%
+4,694
New +$214K
NWL icon
1093
Newell Brands
NWL
$2.16B
$202K 0.01%
20,276
+954
+5% +$8.65K
TSI
1094
TCW Strategic Income Fund
TSI
$212M
$202K 0.01%
41,952
– –
QFLR icon
1095
Innovator Nasdaq-100 Managed Floor ETF
QFLR
$520M
$200K 0.01%
+6,850
New +$196K
GNL icon
1096
Global Net Lease
GNL
$1.87B
$197K 0.01%
26,968
-282
-1% -$2.17K
FTRI icon
1097
First Trust Exchange-Traded Fund II First Trust Indxx Global Natural Resources Income ETF
FTRI
$124M
$194K 0.01%
16,128
-87,952
-85% -$1.14M
RIOT icon
1098
Riot Platforms
RIOT
$8.52B
$189K 0.01%
18,539
+102
+0.6% +$1.11K
LIVE icon
1099
Live Ventures
LIVE
$29.8M
$184K 0.01%
19,739
+508
+3% +$5.48K
GBAB
1100
Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust
GBAB
$382M
$183K 0.01%
12,033
+278
+2% +$4.48K
42 43
44
45 46

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Sigma Planning Corp's Q4 2024 Portfolio in Review

As of Q4 2024, Sigma Planning Corp held 1,277 positions worth $3.18B, down 2.4% from $3.26B the previous quarter. Its ten largest holdings account for 27% of the portfolio.

Sigma Planning Corp withdrew a net $97.3M in Q4 2024, closing 115 positions and reducing 566 holdings. Its most notable exit was State Street SPDR EURO STOXX 50 ETF, an estimated $3.8M position sold in full.

By sector, the portfolio is most concentrated in Technology at 14% of assets, up from 13% a quarter earlier, followed by Consumer Discretionary and Financials.

Against the trend, Sigma Planning Corp opened a new position in LHA Market State Tactical Beta ETF worth $5.26M.

  • Sigma Planning Corp's largest Q4 2024 buy was LHA Market State Tactical Beta ETF: 155,539 shares worth $5.26M.
  • Sigma Planning Corp added most to First Trust SMID Cap Rising Dividend Achievers ETF in Q4 2024, an estimated $3.6M increase.
  • Sigma Planning Corp's biggest Q4 2024 reduction was FT Vest US Equity Buffer ETF December, cutting an estimated $16.3M.
  • Sigma Planning Corp fully exited State Street SPDR EURO STOXX 50 ETF in Q4 2024, selling an estimated $3.8M.
  • Sigma Planning Corp's ten largest holdings make up 27% of its $3.18B portfolio in Q4 2024.
  • Sigma Planning Corp opened 66 new positions and closed 115 in Q4 2024.
  • Sigma Planning Corp's portfolio value fell 2.4% quarter-over-quarter to $3.18B.

Based on Sigma Planning Corp's 13F filing for Q4 2024, filed 3 Feb 2025.