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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
+7.5%
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
$2.37B
AUM Growth
+$287M
Cap. Flow
+$149M
Cap. Flow %
6.27%
Top 10 Hldgs %
22.16%
Holding
1,143
New
143
Increased
513
Reduced
371
Closed
92

Top Buys

Rank Stock Value
1
DGRO icon
iShares Core Dividend Growth ETF
DGRO
+$7.45M
2
PDP icon
Invesco Dorsey Wright Momentum ETF
PDP
+$6.06M
3
XLK icon
State Street Technology Select Sector SPDR ETF
XLK
+$6.01M
4
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$5.52M
5
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$4.67M

Top Sells

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$6.41M
2
NEE icon
NextEra Energy
NEE
+$5.94M
3
CMG icon
Chipotle Mexican Grill
CMG
+$5.85M
4
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$5.59M
5
IVW icon
iShares S&P 500 Growth ETF
IVW
+$4.89M

Sector Composition

Rank Sector Weight
1 Technology 7.36%
2 Financials 4.5%
3 Healthcare 4.01%
4 Industrials 3.83%
5 Consumer Discretionary 3.66%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TEAM icon
1101
Atlassian
TEAM
$22B
– –
-4,961
Closed -$622K
TER icon
1102
Teradyne
TER
$54.8B
– –
-6,682
Closed -$387K
TLH icon
1103
iShares 10-20 Year Treasury Bond ETF
TLH
$11B
– –
-5,785
Closed -$865K
TLRY icon
1104
Tilray
TLRY
$479M
– –
-983
Closed -$203K
TNDM icon
1105
Tandem Diabetes Care
TNDM
$1.17B
– –
-6,784
Closed -$400K
UHS icon
1106
Universal Health Services
UHS
$9.43B
– –
-1,778
Closed -$264K
UOCT icon
1107
Innovator US Equity Ultra Buffer ETF October
UOCT
$178M
– –
-22,792
Closed -$568K
USCI icon
1108
US Commodity Index
USCI
$372M
– –
-5,675
Closed -$203K
USFD icon
1109
US Foods
USFD
$21.4B
– –
-10,100
Closed -$415K
VEEV icon
1110
CALL
Veeva Systems
VEEV
$30.3B
– –
-2,000
Closed -$305K
VWOB icon
1111
Vanguard Emerging Markets Government Bond ETF
VWOB
$6.15B
– –
-4,429
Closed -$357K
WFC.PRL icon
1112
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
$4.66B
– –
-162
Closed -$247K
WST icon
1113
West Pharmaceutical
WST
$23.1B
– –
-2,180
Closed -$309K
ZEPP
1114
Zepp Health
ZEPP
$71.9M
– –
-3,325
Closed -$133K
ZM icon
1115
Zoom
ZM
$25.8B
– –
-4,358
Closed -$332K
ZS icon
1116
Zscaler
ZS
$23B
– –
-8,463
Closed -$400K
ZTS icon
1117
Zoetis
ZTS
$31.6B
– –
-3,952
Closed -$492K
GRCE
1118
Grace Therapeutics
GRCE
$37.9M
– –
-215
Closed -$19K
AGR
1119
DELISTED
Avangrid, Inc.
AGR
– –
-3,917
Closed -$205K
MRO
1120
DELISTED
Marathon Oil Corporation
MRO
– –
-17,624
Closed -$216K
FSD
1121
DELISTED
FIRST TRUST HIGH INCOME LONG/SHORT FUND
FSD
– –
-11,411
Closed -$173K
AYX
1122
DELISTED
Alteryx Inc
AYX
– –
-3,021
Closed -$325K
LTHM
1123
DELISTED
Livent Corporation
LTHM
– –
-11,161
Closed -$75K
HALL
1124
DELISTED
Hallmark Financial Services, Inc.
HALL
– –
-1,779
Closed -$340K
SWCH
1125
DELISTED
Switch, Inc. Class A Common Stock
SWCH
– –
-29,760
Closed -$465K
42 43 44
45
46

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Sigma Planning Corp's Q4 2019 Portfolio in Review

As of Q4 2019, Sigma Planning Corp held 1,143 positions worth $2.37B, up 14% from $2.08B the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Sigma Planning Corp deployed $149M of net new capital in Q4 2019, opening 143 new positions and adding to 513 existing holdings. Its largest new stake was iShares US Transportation ETF: 66,896 shares worth $3.27M.

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

On the sell side, the largest reduction was iShares Core S&P 500 ETF, an estimated $6.41M trimmed.

  • Sigma Planning Corp's largest Q4 2019 buy was iShares US Transportation ETF: 66,896 shares worth $3.27M.
  • Sigma Planning Corp added most to iShares Core Dividend Growth ETF in Q4 2019, an estimated $7.45M increase.
  • Sigma Planning Corp's biggest Q4 2019 reduction was iShares Core S&P 500 ETF, cutting an estimated $6.41M.
  • Sigma Planning Corp fully exited Avalara, Inc. in Q4 2019, selling an estimated $4.36M.
  • Sigma Planning Corp's ten largest holdings make up 22% of its $2.37B portfolio in Q4 2019.
  • Sigma Planning Corp opened 143 new positions and closed 92 in Q4 2019.
  • Sigma Planning Corp's portfolio value rose 14% quarter-over-quarter to $2.37B.

Based on Sigma Planning Corp's 13F filing for Q4 2019, filed 3 Feb 2020.